DFX Intelligence

F•••••••• W•••••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

F•••••••• W•••••• M••••••

Advisor at S•••••••• A••••••• L••

LARKSPUR, CA

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Search this name across graphsid dfx:ria:27b9c9d5-5eb5-44a1-d9d8-c774395fedf1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2021 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••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 2, 2026	n/a	yes	LARKSPUR, CA\|LARKSPUR, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Dec 9, 2021	Feb 9, 2026	no	NOVATO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••••• A••••••• L••	Feb 9, 2026	Mar 2, 2026	21	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:104555:CA:2026-02-04	Feb 9, 2026	Mar 2, 2026	NOVATO, CA	Firm change

Relationships

Registered with (2)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 2, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 9, 2021 to Feb 9, 2026factForm ADV

Dated events

Occurred
Feb 9, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27b9c9d5-5eb5-44a1-d9d8-c774395fedf1
First observed: Dec 9, 2021
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.