DFX Intelligence

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

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RIA / WealthAdvisor12 years in industry

R••• E•••••• M••••

Advisor at C••••••• W••••• A••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:e9746497-a9fe-e253-96f9-f94c996c752e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2017 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••••••• W••••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• W••••• A••••••• L••	Independent wealth	Jul 13, 2018	n/a	yes	NEWPORT BEACH, CA	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Sep 27, 2017	May 25, 2018	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••••• W••••• A••••••• L••	May 25, 2018	Jul 13, 2018	49	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ C••••••• W••••• A••••••• L••Registered adviserregistration: current employment
Jul 13, 2018 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 27, 2017 to May 25, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9746497-a9fe-e253-96f9-f94c996c752e
First observed: Sep 27, 2017
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.