DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

R••• E••• C•••••

Advisor at C••••• A••••••• G••••• L••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:b974e53a-a143-98b4-34cb-16224d07abb8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 13, 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••••• A••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 23, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• A••••••• G••••• L••	Independent wealth	Jan 7, 2010	n/a	yes	SANTA BARBARA, CA	Current employment
C••••••• A•••• M••••••••• L••	n/a	Dec 14, 2005	Apr 20, 2010	no	SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• A•••• M••••••••• L••	C••••• A••••••• G••••• L••	Apr 20, 2010	Jan 7, 2010	-103	Firm change after gap	Other
W•••• F•••• I••••••••• L••	C••••••• A•••• M••••••••• L••	Nov 30, 2005	Dec 14, 2005

Relationships

Registered with (3)

→ C••••• A••••••• G••••• L••Registered adviserregistration: current employment
Jan 7, 2010 to presentfactForm ADV
→ C••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Dec 14, 2005 to Apr 20, 2010factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Aug 13, 2001 to Nov 30, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b974e53a-a143-98b4-34cb-16224d07abb8
First observed: Aug 13, 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.