DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

S••••• C•••••••••

Advisor at C••••••••• F•••••••• G••••• L••

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:cd874070-7513-af31-22e4-6e31c5380919

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 2, 1998 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••••••••• F•••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• G••••• L••	Independent wealth	Feb 26, 2018	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
M•••••• W••••• M••••••••• L••	Former SEC adviser	Apr 15, 2016	Apr 3, 2018	no	LAS VEGAS, NV

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• W••••• M••••••••• L••	C••••••••• F•••••••• G••••• L••	Apr 3, 2018	Feb 26, 2018	-36	Firm change after gap	RIA to new firm
U•• F•••••••• S••••••• I•••	M•••••• W••••• M••••••••• L••	Apr 26, 2016	Apr 15, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:282687:CA:2016-04-26	Apr 26, 2016	Apr 15, 2016	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (5)

→ C••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Feb 26, 2018 to presentfactForm ADV
→ M•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 15, 2016 to Apr 3, 2018factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Feb 13, 2009 to Apr 26, 2016factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd874070-7513-af31-22e4-6e31c5380919
First observed: Nov 2, 1998
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.