DFX Intelligence

C••• T••••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C••• T••••• B••••

Advisor at W•••• F•••• A•••••••

CARDIFF, CA | CHARLESTON, SC

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Search this name across graphsid dfx:ria:eb9abe11-5871-f62b-932a-2c030e5b518c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 11, 1999 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 12, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Dec 4, 2024	n/a	yes	CHARLESTON, SC\|CARDIFF, CA	Current employment
A•••• C•••••• C••••	Bd affiliated wealth	Sep 9, 2021	Dec 5, 2024	no	ENCINITAS, CA\|PORTLAND, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• C•••••• C••••	W•••• F•••• A•••••••	Dec 5, 2024	Dec 4, 2024	-1	Firm change	Ibd to wirehouse
L•• F•••••••• L••	A•••• C•••••• C••••	Aug 17, 2021	Sep 9, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:6413:CA:2018-05-15	May 15, 2018	May 11, 2018	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Dec 4, 2024 to presentfactForm ADV
→ A•••• C•••••• C••••Registered adviserregistration: previous registration
Sep 9, 2021 to Dec 5, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 11, 2018 to Aug 17, 2021factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Dec 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb9abe11-5871-f62b-932a-2c030e5b518c
First observed: Oct 11, 1999
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.