DFX Intelligence

C•••• B••••••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor37 years in industry

C•••• B••••••••• D•••••

Advisor at P••••••••• F•••••••• G••••• I•••

SAN RAMON, CA

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Search this name across graphsid dfx:ria:3e408175-6ba4-4b4d-d301-9fbab7af3687

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: P••••••••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 16, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• F•••••••• G••••• I•••	Independent wealth	Dec 8, 2025	n/a	yes	SAN RAMON, CA	Current employment
P••••••••• F•••••••• G••••• I•••	Former SEC adviser	Jun 1, 2010	Dec 24, 2025	no	SAN RAMON, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• F•••••••• G••••• I•••	P••••••••• F•••••••• G••••• I•••	Dec 24, 2025	Dec 8, 2025	-16	Channel change	RIA to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	P••••••••• F•••••••• G••••• I•••	Jun 1, 2010	Jun 1, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
145540:339321:CA:2025-12-24	Dec 24, 2025	Dec 8, 2025	SAN RAMON, CA	Firm change

Relationships

Registered with (6)

→ P••••••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ P••••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jun 1, 2010 to Dec 24, 2025factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 27, 2009 to Jun 1, 2010factForm ADV
→ R•••••• J•••• • A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e408175-6ba4-4b4d-d301-9fbab7af3687
First observed: Jul 8, 1997
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.