DFX Intelligence

D•••••• W•••• E••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)33 years in industry

D•••••• W•••• E••••••

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

SAN RAFAEL, CA | Houston, TX

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Search this name across graphsid dfx:ria:3448f820-6d8e-0172-20b9-a7b4724e6cea

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 25, 2006 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: Sep 29, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Jan 4, 2021	n/a	yes	Houston, TX\|SAN RAFAEL, CA	Current employment
H•• I••••••••• I••••••••• A••••••• S••••••• I•••	Former SEC adviser	Apr 5, 2019	Mar 31, 2022	no	Houston, TX\|CONCORD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• I••••••••• I••••••••• A••••••• S••••••• I•••	G••••• R••••••••• P••••••• L••	Mar 31, 2022	Jan 4, 2021	-451	Firm change after gap	Other
M•• I•••••••• S•••••••• L••	H•• I••••••••• I••••••••• A••••••• S••••••• I•••	Mar 1, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
290090:172011:CA:2022-03-31	Mar 31, 2022	Jan 4, 2021	CONCORD, CA	Firm change after gap

Relationships

Registered with (3)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Jan 4, 2021 to presentfactForm ADV
→ H•• I••••••••• I••••••••• A••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 5, 2019 to Mar 31, 2022factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 25, 2006 to Mar 1, 2013factForm ADV

Dated events

Occurred
Mar 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3448f820-6d8e-0172-20b9-a7b4724e6cea
First observed: Apr 25, 2006
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.