DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant22 years in industry

S••••• A•• T••••••

Advisor at S•••••• F•

SAN RAMON, CA | Charlotte, NC

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Search this name across graphsid dfx:ria:03938b05-d1f9-8d2a-b10c-87bb4a592230

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2008 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: S•••••• F•
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• F•	Independent wealth	Jul 30, 2025	n/a	yes	Charlotte, NC\|SAN RAMON, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jan 28, 2022	Jun 23, 2025	no	Osseo, MN\|Eagan, MN\|Minnetonka, MN\|Charlotte, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	S•••••• F•	Jun 23, 2025	Jul 30, 2025	37	Firm change	Ibd to RIA
R••••• W• B•••• • C•• I•••••••••	A••••••••• F•••••••• S•••••••• L••	Apr 14, 2021	Jan 28, 2022

Relationships

Registered with (6)

→ S•••••• F•Registered adviserregistration: current employment
Jul 30, 2025 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 28, 2022 to Jun 23, 2025factForm ADV
→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: previous registration
Nov 5, 2018 to Apr 14, 2021factForm ADV
→ P•• W••••• M•••••••••

Dated events

Occurred
Jun 23, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03938b05-d1f9-8d2a-b10c-87bb4a592230
First observed: Feb 20, 2008
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.