DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst17 years in industry

A••••• A••• B•••••••••

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

NEWPORT BEACH, CA | Chicago, IL

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Search this name across graphsid dfx:ria:f99ef4f1-54f6-a43f-f06a-27c5a02860af

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2020 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••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Aug 14, 2025	n/a	yes	NEWPORT BEACH, CA\|Chicago, IL	Current employment
C•• S••••	Former SEC adviser	Mar 27, 2020	Dec 10, 2025	no	OAKBROOK TERRACE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•• S••••	C••••••• P••••••• I••••••••• A•••••••• L••	Dec 10, 2025	Aug 14, 2025	-118	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
150091:126777:IL:2025-12-10	Dec 10, 2025	Aug 14, 2025	OAKBROOK TERRACE, IL	Firm change after gap

Relationships

Registered with (2)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Aug 14, 2025 to presentfactForm ADV
→ C•• S••••Registered adviserregistration: previous registration
Mar 27, 2020 to Dec 10, 2025factForm ADV

Dated events

Occurred
Dec 10, 2025
Advisor changed firm
A••••• A••• B••••••••• left C•• S•••• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-08-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f99ef4f1-54f6-a43f-f06a-27c5a02860af
First observed: Mar 27, 2020
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.