DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••• M••••••• C••••••••

Advisor at R••••• W• B•••• • C•• I•••••••••

ROSEVILLE, CA

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Search this name across graphsid dfx:ria:24170e34-5f17-cc50-b542-c5c308356b63

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 26, 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Jan 5, 2009	n/a	yes	ROSEVILLE, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 26, 2004	Jan 14, 2009	no	ROSEVILLE, CA\|ROSEVILLE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R••••• W• B•••• • C•• I•••••••••	Jan 14, 2009	Jan 5, 2009	-9	Firm change	Other
W•••• F•••• I••••••••• L••	W•••• F•••• A•••••••	Sep 2, 2004	Aug 26, 2004

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Jan 5, 2009 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 26, 2004 to Jan 14, 2009factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Jul 26, 2004 to Sep 2, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24170e34-5f17-cc50-b542-c5c308356b63
First observed: Jul 26, 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.