DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

C•••••• A•••• E••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Monterey, CA | College Grove, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c5621f88-0be1-e624-a650-51429fc19777

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 22, 2011 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 25, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 2, 2023	n/a	yes	Monterey, CA\|College Grove, TN	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Aug 22, 2011	Jun 27, 2023	no

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
R•• C•••••• M••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jun 27, 2023	Jun 2, 2023	-25	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 2, 2023 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Aug 22, 2011 to Jun 27, 2023factForm ADV

Dated events

Occurred
Jun 27, 2023
Advisor changed firm
C•••••• A•••• E•••• left R•• C•••••• M••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5621f88-0be1-e624-a650-51429fc19777
First observed: Aug 22, 2011
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.