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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Y• L•

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

NEW YORK, NY

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Search this name across graphsid dfx:ria:c4dc4058-3e3e-5050-62d9-29387b285290

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2016 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 4derivedfrom 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••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 22, 2022	n/a	yes	NEW YORK, NY	Current employment
C•••	Asset manager	Jan 7, 2021	Oct 22, 2021	no	NEW YORK, NY

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
C•••	C••••• I••••••••• A••••••• L••	Oct 22, 2021	Sep 22, 2022	335	Firm change	Other
C•••••••• G••••• M•••••• I•••	C•••	Sep 4, 2018

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 22, 2022 to presentfactForm ADV
→ C•••Registered adviserregistration: previous registration
Jan 7, 2021 to Oct 22, 2021factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2016 to Sep 4, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4dc4058-3e3e-5050-62d9-29387b285290
First observed: Jan 21, 2016
Last observed: Sep 14, 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.