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D••••• A••••• W•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D••••• A••••• W•••

Advisor at C••••••• P•••••• W•••••

Los Angeles, CA | LOS ANGELES, CA | SYRACUSE, NY | TARRYTOWN, NY

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:d744b44b-898b-84d9-eb26-8af73e083457

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 28, 2002 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••••••• P•••••• W•••••
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: Mar 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom 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••••••• P•••••• W•••••	Bd affiliated wealth	Jun 17, 2026	n/a	yes	TARRYTOWN, NY\|Los Angeles, CA	Current employment
C••••••• S••••••••• I•••	Bd affiliated wealth	Jun 17, 2026	n/a	yes	SYRACUSE, NY\|LOS ANGELES, CA

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
M••••• S••••••	C••••••• S••••••••• I•••	Jun 18, 2026	Jun 17, 2026	-1	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009

Team moves

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

Team	Left	Joined	From	Kind
149777:39550:CA:2026-06-18	Jun 18, 2026	Jun 17, 2026	SANTA MONICA, CA	Firm change

Relationships

Registered with (5)

→ C••••••• P•••••• W•••••Registered adviserregistration: current employment
Jun 17, 2026 to presentfactForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Jun 17, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jun 18, 2026factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Jun 18, 2026
Advisor changed firm
D••••• A••••• W••• left M••••• S•••••• for C••••••• S••••••••• I••• (registered 2026-06-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d744b44b-898b-84d9-eb26-8af73e083457
First observed: May 28, 2002
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.