DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst28 years in industry

C•••••• C•••••••• H••••••••

Advisor at C••••• P••••••• L••

PASADENA, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:dc68e123-16f8-9d39-a9f4-28ea03d69df0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 13, 2000 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••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Mar 3, 2023	n/a	yes	PASADENA, CA\|NEW YORK, NY	Current employment
G••••• J•••• I••••••••• C••••••	Former SEC adviser	Nov 13, 2000	Sep 14, 2023	no	PASADENA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• J•••• I••••••••• C••••••	C••••• P••••••• L••	Sep 14, 2023	Mar 3, 2023	-195	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
107158:151559:CA:2023-09-14	Sep 14, 2023	Mar 3, 2023	PASADENA, CA	Firm change after gap

Relationships

Registered with (2)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Mar 3, 2023 to presentfactForm ADV
→ G••••• J•••• I••••••••• C••••••Registered adviserregistration: previous registration
Nov 13, 2000 to Sep 14, 2023factForm ADV

Dated events

Occurred
Sep 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc68e123-16f8-9d39-a9f4-28ea03d69df0
First observed: Nov 13, 2000
Last observed: Sep 15, 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.