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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)38 years in industry

C••••• D••• D••••

Advisor at P•• A•••••••

PHOENIX, AZ | Campbell, CA

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Search this name across graphsid dfx:ria:c5c87296-7309-ffe6-8574-46dc0c0f5a70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 27, 1999 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: P•• A•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 14, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 11derivedfrom 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
P•• A•••••••	Independent wealth	Mar 6, 2015	n/a	yes	PHOENIX, AZ\|Campbell, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 30, 2003	Oct 11, 2017	no	SANTA CLARA, CA\|SANTA CLARA, CA

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
L•• F•••••••• L••	P•• A•••••••	Oct 11, 2017	Mar 6, 2015	-950	Firm change after gap	Other
M•• I•••••••• S•••••••• L••	L•• F•••••••• L••	Jun 25, 2003

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:173344:CA:2017-10-11	Oct 11, 2017	Mar 6, 2015	SANTA CLARA, CA	Firm change after gap

Relationships

Registered with (3)

→ P•• A•••••••Registered adviserregistration: current employment
Mar 6, 2015 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 30, 2003 to Oct 11, 2017factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 27, 1999 to Jun 25, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5c87296-7309-ffe6-8574-46dc0c0f5a70
First observed: Sep 27, 1999
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.