DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

T••• T••••• T•••

Advisor at T••••••••• F•••••••• A•••••••• L••

PLEASANTON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40a8bcab-cc6f-69db-60c4-fcd8702cc70a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 20, 2008 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: T••••••••• F•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Feb 18, 2025	n/a	yes	PLEASANTON, CA	Current employment
D••••••• B••• S••••••••• I•••	No RAUM reported	Jun 7, 2022	Apr 7, 2023	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• B••• S••••••••• I•••	T••••••••• F•••••••• A•••••••• L••	Apr 7, 2023	Feb 18, 2025	683	Firm change after gap	RIA to ibd
C•••••••• G••••• M•••••• I•••	D••••••• B••• S••••••••• I•••	Mar 31, 2022	Jun 7, 2022

Relationships

Registered with (3)

→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 13, 2015 to May 30, 2019factForm ADV
→ D••••••• B••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 7, 2022 to Apr 7, 2023factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 22, 2019 to Mar 31, 2022factForm ADV

Dated events

Occurred
Apr 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40a8bcab-cc6f-69db-60c4-fcd8702cc70a
First observed: Feb 20, 2008
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.