T••• C••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Orange, CA

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 graphsid dfx:ria:ae9f1480-3315-f454-cf67-188a57cf4b3a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 15, 2001 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••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 17, 2017	n/a	yes	Orange, CA	Current employment
I••••••••• C•••••• O• A••••••• I•••	Former SEC adviser	Sep 18, 2014	Oct 17, 2017	no	Orange, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• C•••••• O• A••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 17, 2017	Oct 17, 2017	0	Firm change	Other
B••••••• I••••••••• S•••••••• I••• •••••	I••••••••• C•••••• O• A••••••• I•••	Sep 29, 2014	Sep 18, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
16443:134139:CA:2017-10-17	Oct 17, 2017	Oct 17, 2017	ORANGE, CA	Firm change

Relationships

Registered with (7)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 17, 2017 to presentfactForm ADV
→ I••••••••• C•••••• O• A••••••• I•••Registered adviserregistration: previous registration
Sep 18, 2014 to Oct 17, 2017factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Apr 19, 2011 to Sep 29, 2014factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae9f1480-3315-f454-cf67-188a57cf4b3a
First observed: May 15, 2001
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.