DFX Intelligence

A••••• E••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

A••••• E••••••••

Advisor at C••••• I••••••••• A••••••• L••

LOS ANGELES, CA | LONG BEACH, CA

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Search this name across graphsid dfx:ria:ae6a6d33-620d-2519-02a7-4492cac3031e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 21, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	LONG BEACH, CA\|LOS ANGELES, CA	Current employment
E•••• R••••••••• A•••••••	Former SEC adviser	Jan 26, 2017	Sep 19, 2022	no	Seal Beach, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••• R••••••••• A•••••••	C••••• I••••••••• A••••••• L••	Sep 19, 2022	Jun 29, 2023	283	Firm change	RIA to ibd
B••••••• I••••••••• S•••••••• I••• •••••	E•••• R••••••••• A•••••••	Apr 26, 2016	Jan 26, 2017

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ E•••• R••••••••• A•••••••Registered adviserregistration: previous registration
Jan 26, 2017 to Sep 19, 2022factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Jul 21, 2015 to Apr 26, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Sep 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae6a6d33-620d-2519-02a7-4492cac3031e
First observed: Mar 27, 2012
Last observed: Sep 14, 2026 9 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.