DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

M••• A••••• P••••••

Advisor at F••••••• S••••••••• I•••

Walnut Creek, CA | New York, NY

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Search this name across graphsid dfx:ria:2462b790-9743-5b0c-676f-16da4868e586

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 15, 2001 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: F••••••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• S••••••••• I•••	Independent wealth	Mar 20, 2025	n/a	yes	Walnut Creek, CA\|Walnut Creek, CA\|New York, NY	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Jul 20, 2010	Dec 4, 2024	no	SAN FRANCISCO, CA\|NEW YORK, NY\|NEW YORK, NY\|SAN FRANCISCO, CA\|San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	F••••••• S••••••••• I•••	Dec 4, 2024	Mar 20, 2025	106	Firm change	Ibd to RIA
D••••••• B••• S••••••••• I•••	H••• S••••••••• •••• I•••	Feb 3, 2010	Jul 20, 2010

Relationships

Registered with (4)

→ F••••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 20, 2025 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jul 20, 2010 to Dec 4, 2024factForm ADV
→ D••••••• B••• S••••••••• I•••Registered adviserregistration: previous registration
Aug 2, 2007 to Feb 3, 2010factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviser

Dated events

Occurred
Dec 4, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2462b790-9743-5b0c-676f-16da4868e586
First observed: May 15, 2001
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.