J••••• N•••••

Advisor · Advisor at C••••• I••••••••• A••••••• L••dual registered (broker-dealer)20 years in industry· EL SEGUNDO, CA | LADERA RANCH, CA

As of 2026-09-25 · this record's last observation

Relationships: 6
Dated events: 2
Observed: Jan 1, 2006 to Sep 25, 2026

As of 2026-09-25 · this record's last observation

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 graphs

Data as of Sep 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 26, 2026, 2:53 AM UTC and rebuilt at most every 15 minutes.

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: Jan 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Sep 21, 2026	n/a	yes	EL SEGUNDO, CA\|LADERA RANCH, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 13, 2023	Sep 24, 2026	no	TUSTIN, CA\|TUSTIN, CA\|SANTA ANA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Sep 24, 2026	Sep 21, 2026	-3	Firm change	Ibd to ibd
J••• M••••• S••••••••• L••	L•• F•••••••• L••	Feb 7, 2023	Apr 13, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:CA:2026-09-11	Sep 24, 2026	Sep 21, 2026	SANTA ANA, CA	Firm change

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 21, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 13, 2023 to Sep 24, 2026factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 30, 2019 to Feb 7, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

Order

Occurred
24 Sep 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
7 Feb 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 1, 2006
Last observed: Sep 25, 2026 26 h 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.