DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

C•••••• B•••• C••••••

Advisor at I••••• P••••••• L••

SAN CLEMENTE, CA | Irvine, CA

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Search this name across graphsid dfx:ria:c68b6009-8d15-63b3-7787-3274718ddaa0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 8, 1997 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: I••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 9, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••• P••••••• L••	Independent wealth	Mar 25, 2025	n/a	yes	Irvine, CA\|SAN CLEMENTE, CA	Current employment
W•••••• I••••••••• S•••••••••	Former SEC adviser	Jun 24, 2022	Feb 7, 2025	no	Irvine, CA\|Pasadena, CA\|Irvine, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• I••••••••• S•••••••••	I••••• P••••••• L••	Feb 7, 2025	Mar 25, 2025	46	Firm change	Ibd to RIA
N•• F•••••••• G••••• L••	W•••••• I••••••••• S•••••••••	Jun 27, 2022	Jun 24, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
39262:289797:CA:2025-02-07	Feb 7, 2025	Mar 25, 2025	IRVINE, CA	Firm change
137743:39262:CA:2022-06-27	Jun 27, 2022	Jun 24, 2022	IRVINE, CA	Firm change

Relationships

Registered with (4)

→ I••••• P••••••• L••Registered adviserregistration: current employment
Mar 25, 2025 to presentfactForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jun 24, 2022 to Feb 7, 2025factForm ADV
→ N•• F•••••••• G••••• L••Registered adviserregistration: previous registration
Nov 5, 2010 to Jun 27, 2022factForm ADV
→ P••••••••• F•••••••• A••••••• I••

Dated events

Occurred
Feb 7, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c68b6009-8d15-63b3-7787-3274718ddaa0
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 9 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.