DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

A••• S• H•••••

Advisor at O•••• W•••••• I•••

OAKLAND, CA

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Search this name across graphsid dfx:ria:27b76b86-08df-0d64-cb6f-91133d124ed3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2008 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 31, 2011	n/a	yes	OAKLAND, CA	Current employment
P•• F•••••••• S••••••• I••	Former SEC adviser	May 17, 2012	Dec 14, 2015	no	OAKLAND, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• F•••••••• S••••••• I••	n/a	Dec 14, 2015	n/a	n/a	Departure no registered destination	Departure
P•• F•••••••• S••••••• I••	O•••• W•••••• I•••	Dec 9, 2010	Aug 31, 2011	265

Relationships

Registered with (2)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 31, 2011 to presentfactForm ADV
→ P•• F•••••••• S••••••• I••Registered adviserregistration: previous registration
May 17, 2012 to Dec 14, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27b76b86-08df-0d64-cb6f-91133d124ed3
First observed: Apr 25, 2008
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.