DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)45 years in industry

G•••••• L•••• B••••••••

Advisor at I••••••••• F•••••••• G••••• L••

Walnut Creek, CA

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Search this name across graphsid dfx:ria:0ee18292-6edb-146d-f1d3-8e11c31dd403

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 26, 2003 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jul 15, 2022	n/a	yes	Walnut Creek, CA	Current employment
N•• F•••••••• G••••• L••	Former SEC adviser	Jun 30, 2022	Jul 15, 2022	no	BURBANK, CA\|Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• F•••••••• G••••• L••	I••••••••• F•••••••• G••••• L••	Jul 15, 2022	Jul 15, 2022	0	Firm change	RIA to ibd
S••	N•• F•••••••• G••••• L••	Feb 19, 2013	Sep 14, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
137743:7717:CA:2022-07-15	Jul 15, 2022	Jul 15, 2022	WALNUT CREEK, CA	Firm change

Relationships

Registered with (6)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jul 15, 2022 to presentfactForm ADV
→ N•• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jun 30, 2022 to Jul 15, 2022factForm ADV
→ S••Registered adviserregistration: previous registration
Nov 12, 2009 to Feb 19, 2013factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

Occurred
Jul 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ee18292-6edb-146d-f1d3-8e11c31dd403
First observed: Sep 26, 2003
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.