DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S•••••• G•••• K•••••••

Advisor at W•••• F•••• A•••••••

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:1e10d17e-ce11-c411-3d82-6b4583f26be6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 25, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jul 26, 2019	n/a	yes	WALNUT CREEK, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Dec 26, 2014	Jul 30, 2019	no	WALNUT CREEK, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	W•••• F•••• A•••••••	Jul 30, 2019	Jul 26, 2019	-4	Firm change	Ibd to wirehouse
M•• I•••••••• S•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jan 2, 2015	Dec 26, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:19616:CA:2019-07-30	Jul 30, 2019	Jul 26, 2019	WALNUT CREEK, CA	Firm change
10409:6363:CA:2015-01-02	Jan 2, 2015	Dec 26, 2014	PLEASANTON, CA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jul 26, 2019 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Dec 26, 2014 to Jul 30, 2019factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 1, 2001 to Jan 2, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e10d17e-ce11-c411-3d82-6b4583f26be6
First observed: Feb 1, 2001
Last observed: Sep 14, 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.