DFX Intelligence

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

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RIA / WealthAdvisor38 years in industry

S••••• M•• S••••••••

Advisor at W••••••••• A•••••••

SAN RAFAEL, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2015 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: W••••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 21, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A•••••••	Independent wealth	Aug 17, 2026	n/a	yes	SAN RAFAEL, CA	Current employment
W••••••••• A•••••••	Former SEC adviser	Oct 11, 2018	Sep 11, 2024	no	SAN FRANCISCO, CA\|SAN RAFAEL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••••• A•••••••	W••••••••• A•••••••	Sep 11, 2024	Aug 17, 2026	705	Channel change	RIA to RIA
M••••• F•••••••• P•••••••• I•••	W••••••••• A•••••••	Oct 19, 2018	Oct 11, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
110666:106181:CA:2024-09-11	Sep 11, 2024	Aug 17, 2026	SAN RAFAEL, CA	Firm change after gap
105180:110666:CA:2018-10-19	Oct 19, 2018	Oct 11, 2018	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ W••••••••• A•••••••Registered adviserregistration: current employment
Aug 17, 2026 to presentfactForm ADV
→ W••••••••• A•••••••Registered adviserregistration: previous registration
Oct 11, 2018 to Sep 11, 2024factForm ADV
→ M••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 24, 2015 to Oct 19, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 24, 2015
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.