DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

E••• S•••••• S••••

Advisor at C••••••••• W••••• M••••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:babe337b-6172-5a44-bd5d-304cd394117b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 25, 1999 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••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• M••••••••• L••	Independent wealth	Feb 14, 2018	n/a	yes	DES PERES, MO\|Ventura, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 4, 2011	n/a	yes	VENTURA, CA	Current employment

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• P•••••••• I•••	L•• F•••••••• L••	Dec 20, 2018	May 4, 2011	-2,787	Firm change after gap	Other

Relationships

Registered with (3)

→ C••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
May 4, 2011 to presentfactForm ADV
→ L••••••• P•••••••• I•••Registered adviserregistration: previous registration
Aug 25, 1999 to Dec 20, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:babe337b-6172-5a44-bd5d-304cd394117b
First observed: Aug 25, 1999
Last observed: Sep 15, 2026 8 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.