A••• H•••••• L•

Advisor at C•••••••• G••••• M•••••• I•••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 5, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

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Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 18, 2020	n/a	yes	Pasadena, CA\|Arcadia, CA\|Monrovia, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 10, 2019	May 4, 2020	no	CUPERTINO, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	C•••••••• G••••• M•••••• I•••	May 4, 2020	May 18, 2020	14	Firm change	Ibd to ibd
P•• M•••••• A•••••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Dec 12, 2018	Jan 10, 2019

Relationships

Registered with (4)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Sep 14, 2016 to Jun 29, 2017factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 10, 2019 to May 4, 2020factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 29, 2017 to Dec 12, 2018factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 24, 2014
Last observed: Sep 14, 2026 10 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.