DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner16 years in industry

S•••••••• M•••• M•••••••••

Advisor at A••••••• F••••••••• L•••

FOLSOM, CA | Larkspur, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ef983a5-6b19-1c5d-1330-25e826e36914

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2010 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 26, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Jul 18, 2019	n/a	yes	FOLSOM, CA\|Larkspur, CA	Current employment
Y••••••••• F•••••••• A•••••••• L••	Former SEC adviser	Jul 15, 2013	Apr 2, 2020	no	CORTE MADERA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
Y••••••••• F•••••••• A•••••••• L••	A••••••• F••••••••• L•••	Apr 2, 2020	Jul 18, 2019	-259	Firm change after gap	RIA to RIA
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Jun 17, 2013	Jun 3, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
134209:111167:CA:2020-04-02	Apr 2, 2020	Jul 18, 2019	CORTE MADERA, CA	Firm change after gap

Relationships

Registered with (5)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Jul 18, 2019 to presentfactForm ADV
→ Y••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 15, 2013 to Apr 2, 2020factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 3, 2011 to Jun 17, 2013factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ef983a5-6b19-1c5d-1330-25e826e36914
First observed: Mar 10, 2010
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.