DFX Intelligence

P•••• E••• P••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst27 years in industry

P•••• E••• P••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Laguna Niguel, CA

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Search this name across graphsid dfx:ria:e0eb5de7-6992-9025-308e-20c9708ccaab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2001 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 28, 2005	n/a	yes	Laguna Niguel, CA	Current employment
C•••••••• I••••••••• R•••••••• I•••	n/a	Nov 14, 2001	Mar 28, 2005	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|San Francisco, CA\|PALM SPRING, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|NEWPORT BEACH, CA\|PALM SPRINGS, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|PALM SPRINGS, CA\|BURLINGAME, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|NEWPORT BEACH, CA\|Huntington Beach, CA\|Laguna Niguel, CA\|NEWPORT BEACH, CA\|WEST DES MOINES, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Mar 28, 2005	Mar 28, 2005	0	Bulk transfer	Other

Relationships

Registered with (2)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 28, 2005 to presentfactForm ADV
→ C•••••••• I••••••••• R•••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2001 to Mar 28, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0eb5de7-6992-9025-308e-20c9708ccaab
First observed: Nov 14, 2001
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.