DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

C••••••••• C••••• G•••••

Advisor at S••••••••• A•••• M••••••••• L••

WESTLAKE, TX | Mill Valley, CA

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Search this name across graphsid dfx:ria:230ed3c7-435b-7543-f781-9cfa410f2cef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2005 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: S••••••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 28, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••• M••••••••• L••	Independent wealth	Jan 23, 2023	n/a	yes	Mill Valley, CA\|WESTLAKE, TX	Current employment
M•• W•••••	Independent wealth	Jan 26, 2016	Dec 8, 2022	no	Novato, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• W•••••	S••••••••• A•••• M••••••••• L••	Dec 8, 2022	Jan 23, 2023	46	Firm change	RIA to RIA
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Jan 6, 2015	Dec 4, 2013

Relationships

Registered with (7)

→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Jan 23, 2023 to presentfactForm ADV
→ M•• W•••••Registered adviserregistration: previous registration
Jan 26, 2016 to Dec 8, 2022factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 4, 2013 to Jan 6, 2015factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Dec 8, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:230ed3c7-435b-7543-f781-9cfa410f2cef
First observed: Mar 15, 2005
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.