DFX Intelligence

D••••• L•••• H•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

D••••• L•••• H•••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

SAN FRANCISCO, CA | Walnut Creek, CA

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Search this name across graphsid dfx:ria:36fd5b30-ef98-775b-af2e-9717df7fb127

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2005 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 22, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 1, 2012	n/a	yes	SAN FRANCISCO, CA\|Walnut Creek, CA	Current employment
T••••• W••••• P••••••• L••	Former SEC adviser	Nov 23, 2005	Mar 1, 2012	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••• W••••• P••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Mar 1, 2012	Mar 1, 2012	0	Channel change	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 1, 2012 to presentfactForm ADV
→ T••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Nov 23, 2005 to Mar 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36fd5b30-ef98-775b-af2e-9717df7fb127
First observed: Nov 23, 2005
Last observed: Sep 14, 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.