J••••• R•• D•••

Advisor at C••••••••• F•••••••• N••••••

Livermore, 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:dbc656a4-7ddc-8204-6409-0ca849dd5a43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 11, 2006 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•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Feb 18, 2025	n/a	yes	Livermore, CA	Current employment
7• S•••••• F••••••••• L••	Independent wealth	Apr 22, 2016	Dec 31, 2025	no	San Ramon, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
7• S•••••• F••••••••• L••	C••••••••• F•••••••• N••••••	Dec 31, 2025	Feb 18, 2025	-316	Firm change after gap	RIA to ibd
B•••••••• W••••• P•••••••• L••	7• S•••••• F••••••••• L••	Aug 1, 2016	Apr 22, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
282577:8032:CA:2025-12-31	Dec 31, 2025	Feb 18, 2025	SAN RAMON, CA	Firm change after gap
168921:282577:CA:2016-08-01	Aug 1, 2016	Apr 22, 2016	SAN RAMON, CA	Firm change after gap
6413:168921:CA:2015-10-28	Oct 28, 2015	Jan 6, 2014	LIVERMORE, CA	Firm change after gap

Relationships

Registered with (5)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Feb 18, 2025 to presentfactForm ADV
→ 7• S•••••• F••••••••• L••Registered adviserregistration: previous registration
Apr 22, 2016 to Dec 31, 2025factForm ADV
→ B•••••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 6, 2014 to Aug 1, 2016factForm ADV
→ L•• F•••••••• L••Registered adviser

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbc656a4-7ddc-8204-6409-0ca849dd5a43
First observed: Aug 11, 2006
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.