DFX Intelligence

N•••••••• J••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

N•••••••• J••••• S•••••

Advisor at R•••••• M••••

SAN JOSE, CA | Sunnyvale, CA

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Search this name across graphsid dfx:ria:0bb349dd-f9d8-5ce1-3000-5f84871cb98b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Apr 19, 2017 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: R•••••• M••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• M••••	State registered	Jul 22, 2026	n/a	yes	Sunnyvale, CA\|SAN JOSE, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Jun 18, 2026	no	SUNNYVALE, CA\|BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	R•••••• M••••	Jun 18, 2026	Jul 22, 2026	34	Firm change	Ibd to state RIA
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:288590:CA:2023-09-01	Sep 1, 2023	Sep 27, 2023	CLAREMONT, CA	Firm change
19616:149777:CA:2022-05-23	May 23, 2022	Nov 7, 2022	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (5)

→ R•••••• M••••Registered adviserregistration: current employment
Jul 22, 2026 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Jun 18, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 27, 2023 to Mar 31, 2025factForm ADV
→ M••••• S••••••

Dated events

Occurred
Jun 18, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 23, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bb349dd-f9d8-5ce1-3000-5f84871cb98b
First observed: Apr 19, 2017
Last observed: Sep 15, 2026 8 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.