DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

L••• P••••••• S••••••

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

WHITTIER, CA

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Search this name across graphsid dfx:ria:ea8f5a22-31b0-30f0-8be1-576ac10ec2af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2007 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: May 23, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	May 28, 2025	n/a	yes	WHITTIER, CA	Current employment
T••••••• A•••••• N••••••• L••	Bd affiliated wealth	Aug 23, 2021	Jul 14, 2023	no	MINNEAPOLIS, MN\|Brea, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••• A•••••• N••••••• L••	C••••• I••••••••• A••••••• L••	Jul 14, 2023	May 28, 2025	684	Firm change after gap	Ibd to ibd
C••••• A•••••• N••••••• L••	T••••••• A•••••• N••••••• L••	Aug 30, 2021	Aug 23, 2021

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
May 28, 2025 to presentfactForm ADV
→ T••••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Aug 23, 2021 to Jul 14, 2023factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jul 1, 2019 to Aug 30, 2021factForm ADV
→ E•••• R••••••••• A•••••••

Dated events

Occurred
Jul 14, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ea8f5a22-31b0-30f0-8be1-576ac10ec2af
First observed: Mar 20, 2007
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.