L•• R•••••

Advisor at C••••• I••••••••• A••••••• L••

SAN JOSE, CA

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Search this name across graphsid dfx:ria:e92cb769-f356-1688-5ce5-8952e2956bea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2015 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••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 15, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jul 15, 2019	n/a	yes	SAN JOSE, CA	Current employment
F•••••••• A••••••• S•••••••• L••	Former SEC adviser	Apr 16, 2015	Jun 20, 2019	no	NEW YORK, NY\|San Jose, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A••••••• S•••••••• L••	C••••• I••••••••• A••••••• L••	Jun 20, 2019	Jul 15, 2019	25	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jul 15, 2019 to presentfactForm ADV
→ F•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 16, 2015 to Jun 20, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e92cb769-f356-1688-5ce5-8952e2956bea
First observed: Apr 16, 2015
Last observed: Sep 14, 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.