DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

R•••• L•••• P••••

Advisor at C•••••• L••

••• Locked

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Search this name across graphsid dfx:ria:e2bd4a54-6f7b-b066-ad93-4e3fe7910791

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Sep 23, 2016 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•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	Jan 9, 2023	n/a	yes	Orinda, CA\|ROCKFORD, IL\|SPRING HILL, TN	Current employment
E••• W••••• M••••••••• L••	Former SEC adviser	Apr 27, 2022	Jan 5, 2023	no	ORINDA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• W••••• M••••••••• L••	C•••••• L••	Jan 5, 2023	Jan 9, 2023	4	Firm change	RIA to RIA
E••••• J••••	E••• W••••• M••••••••• L••	Apr 19, 2022	Apr 27, 2022

Team moves

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Team	Left	Joined	From	Kind
287882:111221:CA:2023-01-05	Jan 5, 2023	Jan 9, 2023	ORINDA, CA	Firm change

Relationships

Registered with (3)

→ C•••••• L••Registered adviserregistration: current employment
Jan 9, 2023 to presentfactForm ADV
→ E••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 27, 2022 to Jan 5, 2023factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Sep 23, 2016 to Apr 19, 2022factForm ADV

Dated events

Occurred
Jan 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2bd4a54-6f7b-b066-ad93-4e3fe7910791
First observed: Sep 23, 2016
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.