DFX Intelligence

S•••• E•••••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

S•••• E•••••• G••••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | PORTLAND, OR

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Search this name across graphsid dfx:ria:f6d434bf-48f9-4ae9-f325-6db110e4699f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 1, 2010 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jul 1, 2026	n/a	yes	PORTLAND, OR\|NEW YORK, NY	Current employment
C•••••• W••••• P•••••••	Former SEC adviser	Apr 7, 2015	Jul 17, 2026	no	PORTLAND, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• P•••••••	C••••• P••••••• L••	Jul 17, 2026	Jul 1, 2026	-16	Firm change	RIA to RIA
B••••	C•••••• W••••• P•••••••	Nov 21, 2012	Apr 7, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
152395:151559:OR:2026-07-17	Jul 17, 2026	Jul 1, 2026	PORTLAND, OR	Firm change

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jul 1, 2026 to presentfactForm ADV
→ C•••••• W••••• P•••••••Registered adviserregistration: previous registration
Apr 7, 2015 to Jul 17, 2026factForm ADV
→ B••••Registered adviserregistration: previous registration
Nov 1, 2010 to Nov 21, 2012factForm ADV

Dated events

Occurred
Jul 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6d434bf-48f9-4ae9-f325-6db110e4699f
First observed: Nov 1, 2010
Last observed: Sep 15, 2026 7 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.