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G•••••• S•••• A•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

G•••••• S•••• A•••••••••

Advisor at O•••• A••••••• S•••••••• L••

San Ramon, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2004 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: O•••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 8, 2024	n/a	yes	San Ramon, CA	Current employment
F••••••• S••••••••• I•••	Former SEC adviser	Dec 9, 2016	Dec 31, 2016	no	San Ramon, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• P•••• A•••••••	O•••• A••••••• S•••••••• L••	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
F••••••• S••••••••• I•••	O•••• A••••••• S•••••••• L••	Dec 31, 2016	Nov 8, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
1027:171070:CA:2016-12-31	Dec 31, 2016	Nov 8, 2024	SAN RAMON, CA	Firm change after gap
1027:165127:CA:2016-12-08	Dec 8, 2016	Dec 8, 2016	SANTA CLARA, CA	Firm change

Relationships

Registered with (3)

→ O•••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ A•••• P•••• A•••••••Registered adviserregistration: previous registration
Dec 8, 2016 to Nov 8, 2024factForm ADV
→ F••••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 9, 2016 to Dec 31, 2016factForm ADV

Dated events

Order

Occurred
8 Nov 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 2, 2004
Last observed: Sep 14, 2026 10 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.