DFX Intelligence

R•••••• Y••••• M•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

R•••••• Y••••• M•••

Advisor at F•••• P••••••• W•••••• L••

WALNUT CREEK, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 19, 2016 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: F•••• P••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P••••••• W•••••• L••	Independent wealth	May 5, 2025	n/a	yes	WALNUT CREEK, CA	Current employment
A•••• P•••••••• L••	Former SEC adviser	Sep 8, 2022	Jun 27, 2025	no	WALNUT CREEK, CA\|WALNUT CREEK, CA\|Fortuna, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• P•••••••• L••	F•••• P••••••• W•••••• L••	Jun 27, 2025	May 5, 2025	-53	Channel change	RIA to RIA
E•••• C•••••• M••••••••• I•••	A•••• P•••••••• L••	Jun 2, 2022	Sep 8, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
297808:159289:CA:2025-06-27	Jun 27, 2025	May 5, 2025	FORTUNA, CA	Firm change after gap

Relationships

Registered with (4)

→ F•••• P••••••• W•••••• L••Registered adviserregistration: current employment
May 5, 2025 to presentfactForm ADV
→ A•••• P•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2022 to Jun 27, 2025factForm ADV
→ E•••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 24, 2021 to Jun 2, 2022factForm ADV
→ P•••••• F•••••••• G•••• I••

Dated events

Order

Occurred
2 Jun 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 19, 2016
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.