DFX Intelligence

R•••••• A••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

R•••••• A••• H•••••

Advisor at P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M•••••••••

CARMEL, CA

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Search this name across graphsid dfx:ria:234e9fce-e968-2683-82a5-ee5743b18b4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2004 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M•••••••••	Independent wealth	Jan 20, 2012	n/a	yes	CARMEL, CA	Current employment
P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M•••••••••	Independent wealth	May 15, 2009	Dec 31, 2010	no	CARMEL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• G••••• A• D••••••• O• C•••••••• A•••••••• I•••	P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M•••••••••	Oct 1, 2008	May 15, 2009	226	Firm change	Other

Relationships

Registered with (2)

→ P••••••••• G••••• A• D••••••• O• P••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
May 15, 2009 to Dec 31, 2010factForm ADV
→ P••••••••• G••••• A• D••••••• O• C•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 9, 2004 to Oct 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:234e9fce-e968-2683-82a5-ee5743b18b4c
First observed: Nov 9, 2004
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.