DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

S••••••• L••

Advisor at C•••••••• G••••• M•••••• I•••

DALY CITY, CA | San Francisco, 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, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 15, 2006 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: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 31, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jul 25, 2018	n/a	yes	San Francisco, CA\|DALY CITY, CA	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Jun 30, 2009	Jul 11, 2018	no	SAN FRANCISCO, CA\|DALY CITY, CA\|NEW YORK, NY\|ENCINO, CA\|PALO ALTO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	C•••••••• G••••• M•••••• I•••	Jul 11, 2018	Jul 25, 2018	14	Firm change	Ibd to ibd
B••• O• A•••••• I••••••••• S•••••••• I•••	H••• S••••••••• •••• I•••	Jun 12, 2009	Jun 30, 2009

Relationships

Registered with (3)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Jul 25, 2018 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jun 30, 2009 to Jul 11, 2018factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 15, 2006 to Jun 12, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 15, 2006
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.