T••• A• L•

Advisor at C•••••• F••• I••••••••• I•••

IRVINE, CA

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Search this name across graphsid dfx:ria:a89d6943-b6d5-1034-6698-b797d72631f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 10, 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•••••• F••• I••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• F••• I••••••••• I•••	Independent wealth	Mar 11, 2026	n/a	yes	IRVINE, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	Mar 9, 2026	no	TORRANCE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	C•••••• F••• I••••••••• I•••	Mar 9, 2026	Mar 11, 2026	2	Firm change	Ibd to RIA
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025

Relationships

Registered with (4)

→ C•••••• F••• I••••••••• I•••Registered adviserregistration: current employment
Mar 11, 2026 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Sep 5, 2025 to Mar 9, 2026factForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Dec 14, 2023 to Sep 5, 2025factForm ADV
→ N••• M••••••••• L••Registered adviser

Dated events

Occurred
Mar 9, 2026
Advisor changed firm
T••• A• L• left C••••• I••••••••• A••••••• L•• for C•••••• F••• I••••••••• I••• (registered 2026-03-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a89d6943-b6d5-1034-6698-b797d72631f1
First observed: Jul 10, 2014
Last observed: Sep 14, 2026 8 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.