DFX Intelligence

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

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RIA / WealthAdvisor36 years in industry

G••• L•••• D•••••••

Advisor at A•••••• W••••• M••••••••• L•

SANTA BARBARA, 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, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 24, 1989 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: A•••••• W••••• M••••••••• L•
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 24, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••• W••••• M••••••••• L•	Independent wealth	Nov 24, 2014	n/a	yes	SANTA BARBARA, CA	Current employment
M••••• G••••• A••••••• I•••	Independent wealth	Jul 14, 2008	Jun 2, 2014	no	SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• G••••• A••••••• I•••	A•••••• W••••• M••••••••• L•	Jun 2, 2014	Nov 24, 2014	175	Firm change	Other
M••••• A•••••••	M••••• G••••• A••••••• I•••	Jul 14, 2008	Jul 14, 2008

Relationships

Registered with (3)

→ A•••••• W••••• M••••••••• L•Registered adviserregistration: current employment
Nov 24, 2014 to presentfactForm ADV
→ M••••• G••••• A••••••• I•••Registered adviserregistration: previous registration
Jul 14, 2008 to Jun 2, 2014factForm ADV
→ M••••• A•••••••Registered adviserregistration: previous registration
Oct 24, 1989 to Jul 14, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 24, 1989
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.