DFX Intelligence

S•••• P•••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor29 years in industry

S•••• P•••••• W••••••

Advisor at R•••••••• S•••••••

SAN FRANCISCO, CA | DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:30b84d95-c9ac-a2c7-d2e3-22d5c5e126c7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 9, 2010 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•••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••••• S•••••••	Independent wealth	Jul 31, 2024	n/a	yes	SAN FRANCISCO, CA\|DENVER, CO	Current employment
R•••• W••••• G•••• L••	Former SEC adviser	Dec 4, 2019	Aug 28, 2024	no	DENVER, CO\|DENVER, CO\|DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••• W••••• G•••• L••	R•••••••• S•••••••	Aug 28, 2024	Jul 31, 2024	-28	Firm change	RIA to RIA
M•• I•••••••• S•••••••• L••	R•••• W••••• G•••• L••	Dec 6, 2019	Dec 4, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
306278:289977:CO:2024-08-28	Aug 28, 2024	Jul 31, 2024	DENVER, CO	Firm change
10409:306278:CO:2019-12-06	Dec 6, 2019	Dec 4, 2019	DENVER, CO	Firm change

Relationships

Registered with (4)

→ R•••••••• S•••••••Registered adviserregistration: current employment
Jul 31, 2024 to presentfactForm ADV
→ R•••• W••••• G•••• L••Registered adviserregistration: previous registration
Dec 4, 2019 to Aug 28, 2024factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 27, 2015 to Dec 6, 2019factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

Occurred
Aug 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30b84d95-c9ac-a2c7-d2e3-22d5c5e126c7
First observed: Sep 9, 2010
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.