DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultant28 years in industry

S•••••• M•••••• R•••

Advisor at R••• F•••••••• C••••••••• I•••

LOS GATOS, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2001 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: R••• F•••••••• C••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 26, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••• F•••••••• C••••••••• I•••	Independent wealth	Aug 20, 2014	n/a	yes	LOS GATOS, CA	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Oct 7, 2014	Oct 17, 2014	no	LOS GATOS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	n/a	Oct 17, 2014	n/a	n/a	Departure no registered destination	Departure
P••• A••••• S••••••••• L••	I••••••••• F•••••••• • I•••••••• S•••••••	Oct 3, 2014	Feb 19, 2003	-4,244

Relationships

Registered with (3)

→ R••• F•••••••• C••••••••• I•••Registered adviserregistration: current employment
Aug 20, 2014 to presentfactForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 7, 2014 to Oct 17, 2014factForm ADV
→ I••••••••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: previous registration
Feb 19, 2003 to Dec 13, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 1, 2001
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.