DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

W•••••• C•••• H••••••••

Advisor at C••••• P••••••• L••

GREENBRAE, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:d0411d4c-abb9-666b-b1f8-ce506159ba61

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2005 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 24, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Sep 3, 2024	n/a	yes	NEW YORK, NY\|GREENBRAE, CA	Current employment
A••••• C••••••• L••	Former SEC adviser	Jul 25, 2016	Sep 10, 2024	no	Sausalito, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• C••••••• L••	C••••• P••••••• L••	Sep 10, 2024	Sep 3, 2024	-7	Firm change	RIA to RIA
G•• A••••••• S•••••••• L••	A••••• C••••••• L••	Jul 22, 2016	Jul 25, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
272029:151559:CA:2024-09-10	Sep 10, 2024	Sep 3, 2024	SAUSALITO, CA	Firm change

Relationships

Registered with (4)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Sep 3, 2024 to presentfactForm ADV
→ A••••• C••••••• L••Registered adviserregistration: previous registration
Jul 25, 2016 to Sep 10, 2024factForm ADV
→ G•• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 11, 2014 to Jul 22, 2016factForm ADV
→ C•• C•••••• M••••••••• I••Registered adviser

Dated events

Occurred
Sep 10, 2024
Advisor changed firm
W•••••• C•••• H•••••••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0411d4c-abb9-666b-b1f8-ce506159ba61
First observed: Dec 9, 2005
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.