DFX Intelligence

C••••••••• L••••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C••••••••• L••••••• S•••••

Advisor at C•••••• S••••• • C••• I•••

Pasadena, CA

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Search this name across graphsid dfx:ria:b8ab5383-4b13-a8cb-c1a7-d17324ace1f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Apr 29, 2009 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 10, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Nov 3, 2023	n/a	yes	Pasadena, CA	Current employment
M••••• S••••••	Wirehouse	Sep 5, 2023	Nov 1, 2023	no	LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	C•••••• S••••• • C••• I•••	Nov 1, 2023	Nov 3, 2023	2	Firm change	Wirehouse to ibd
E•••••• C•••••• M••••••••• L••	M••••• S••••••	Sep 5, 2023	Sep 5, 2023

Relationships

Registered with (8)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 5, 2023 to Nov 1, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 13, 2019 to Sep 5, 2023factForm ADV
→ C•••••• C•••••• A•••••••• L••

Dated events

Occurred
Nov 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8ab5383-4b13-a8cb-c1a7-d17324ace1f4
First observed: Apr 29, 2009
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.