DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

S••••••• V••••• L•••••••

Advisor at C•••• A•••••••• L••

OVERLAND PARK, KS | Pasadena, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f7822312-9b99-1fb1-d495-585f1fdc5fb3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 7, 2013 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•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 15, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••• A•••••••• L••	Independent wealth	Feb 12, 2026	n/a	yes	OVERLAND PARK, KS\|Pasadena, CA	Current employment
C••••••• A••••••• N••••••• L••	Independent wealth	Nov 2, 2017	Dec 31, 2022	no	Pasadena, CA\|ALISO VIEJO, CA\|Pasadena, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• A••••••• N••••••• L••	C•••• A•••••••• L••	Dec 31, 2022	Feb 12, 2026	1,139	Firm change after gap	RIA to RIA
N••• C•••••••••	C••••••• A••••••• N••••••• L••	Nov 1, 2017	Nov 2, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
165868:312547:CA:2022-12-22	Dec 31, 2022	Feb 12, 2026	PASADENA, CA	Firm change after gap

Relationships

Registered with (4)

→ C•••• A•••••••• L••Registered adviserregistration: current employment
Feb 12, 2026 to presentfactForm ADV
→ C••••••• A••••••• N••••••• L••Registered adviserregistration: previous registration
Nov 2, 2017 to Dec 31, 2022factForm ADV
→ N••• C•••••••••Registered adviserregistration: previous registration
Aug 12, 2014 to Nov 1, 2017factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7822312-9b99-1fb1-d495-585f1fdc5fb3
First observed: Feb 7, 2013
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.