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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

I••• P•••••• R•••••

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

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:cc0f4cde-7c1c-c2d9-91cf-0f38137481ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2002 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: Jan 17, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Mar 21, 2024	n/a	yes	SAN DIEGO, CA	Current employment
C•••••• C•••••• M••••••••• G••••• I•••	Former SEC adviser	Oct 24, 2005	Apr 22, 2010	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
C•••••• C•••••• M••••••••• G••••• I•••	C••••• I••••••••• A••••••• L••	Apr 22, 2010	Mar 21, 2024	5,082	Firm change after gap	Other
C••••• A••••••• L••	C•••••• C•••••• M••••••••• G••••• I•••	Oct 28, 2005

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ C•••••• C•••••• M••••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 24, 2005 to Apr 22, 2010factForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Oct 11, 2002 to Oct 28, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc0f4cde-7c1c-c2d9-91cf-0f38137481ce
First observed: Oct 11, 2002
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.