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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

D•••• C•••••• N•••

Advisor at C•• L••

Cerritos, CA | LONG BEACH, CA

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:cc3b4e12-f629-3f9b-b76c-88fac991dd46

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Mar 31, 1998 to Sep 15, 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•• L••
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: Dec 3, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

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•• L••	Independent wealth	Jan 30, 2017	n/a	yes	LONG BEACH, CA\|Cerritos, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	Dec 31, 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
C••••• I••••••••• A••••••• L••	n/a	Dec 31, 2023	n/a	n/a	Departure no registered destination	Departure
C••••• A•••••• N••••••• L••	C•• L••	Jun 29, 2023	Jan 30, 2017

Team moves

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

Team	Left	Joined	From	Kind
13572:282605:CA:2023-06-29	Jun 29, 2023	Jan 30, 2017	LAKEWOOD, CA	Firm change after gap

Relationships

Registered with (3)

→ C•• L••Registered adviserregistration: current employment
Jan 30, 2017 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Dec 31, 2023factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 31, 1998 to Jun 29, 2023factForm ADV

Dated events

Occurred
Dec 31, 2023
A•••••• departure
D•••• C•••••• N••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jun 29, 2023
A•••••• firm change
D•••• C•••••• N••• left C••••• A•••••• N••••••• L•• for C•• L•• (registered 2017-01-30)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc3b4e12-f629-3f9b-b76c-88fac991dd46
First observed: Mar 31, 1998
Last observed: Sep 15, 2026 7 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.