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H•••••• T•••••••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

H•••••• T•••••••• C••••

Advisor at C••••• M••••••

IRVINE, CA | NEW BERN, NC

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Search this name across graphsid dfx:ria:b82e7eca-ed1f-4a11-7d6c-f2d6ef9e4136

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2010 to Sep 15, 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••••• M••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 5, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• M••••••	Independent wealth	Oct 24, 2014	n/a	yes	NEW BERN, NC\|IRVINE, CA	Current employment
E••••• J••••	National bd RIA	Mar 9, 2010	Oct 17, 2014	no	NEW BERN, NC\|NEW BERN, NC\|ST LOUIS, MO

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	C••••• M••••••	Oct 17, 2014	Oct 24, 2014	7	Firm change	Other

Relationships

Registered with (2)

→ C••••• M••••••Registered adviserregistration: current employment
Oct 24, 2014 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Mar 9, 2010 to Oct 17, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b82e7eca-ed1f-4a11-7d6c-f2d6ef9e4136
First observed: Mar 9, 2010
Last observed: Sep 15, 2026 7 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.