DFX Intelligence

B•••• A•••••••• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

B•••• A•••••••• T•••••••

Advisor at G••••• R••••••••• P••••••• L••

Walnut Creek, CA | SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:2a3cf6a2-5630-6e51-52aa-c892a6560edc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2000 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: G••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 13, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Jan 12, 2015	n/a	yes	Walnut Creek, CA\|SAN RAFAEL, CA	Current employment
H•••••••• I••••••••• A•••••••• I•••	Former SEC adviser	Apr 6, 2016	Jan 13, 2017	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• I••••••••• A•••••••• I•••	n/a	Jan 13, 2017	n/a	n/a	Departure no registered destination	Departure
N•• A•••••••• I•••	G••••• R••••••••• P••••••• L••	Nov 30, 2010	Jan 12, 2015	1,504

Relationships

Registered with (5)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Jan 12, 2015 to presentfactForm ADV
→ H•••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 6, 2016 to Jan 13, 2017factForm ADV
→ N•• A•••••••• I•••Registered adviserregistration: previous registration
Feb 14, 2008 to Nov 30, 2010factForm ADV
→ F•••••••• T••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a3cf6a2-5630-6e51-52aa-c892a6560edc
First observed: Nov 29, 2000
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.