DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

G••••• R••••••••

Advisor at C••••• I••••••••• A••••••• L••

Folsom, CA | Roseville, CA

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 1, 2020 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 17, 2026	n/a	yes	Folsom, CA\|Roseville, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 17, 2025	Sep 11, 2026	no	FOLSOM, CA\|ROSEVILLE, CA\|ROSEVILLE, CA\|SAN DIEGO, CA\|ROSEVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Sep 11, 2026	Aug 17, 2026	-25	Bulk transfer	Ibd to ibd
E••••• J••••	L•• F•••••••• L••	Mar 18, 2025	Mar 17, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:CA:2026-09-11	Sep 11, 2026	Aug 17, 2026	ROSEVILLE, CA	Firm change
250:6413:CA:2025-03-17	Mar 18, 2025	Mar 17, 2025	GRANITE BAY, CA	Firm change

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 17, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 17, 2025 to Sep 11, 2026factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 1, 2020 to Mar 18, 2025factForm ADV

Dated events

Order

Occurred
11 Sep 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
18 Mar 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 1, 2020
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.