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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

S•••• G••••• Y••••••

Advisor at I••••• I••••••••

APTOS, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:41f9c3d1-59f0-725b-88a4-b9c84933ec20

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Oct 11, 2004 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•••• G••••• Y••••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: I••••• I••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
I••••• I••••••••	Independent wealth	Jan 1, 2025	n/a	yes	APTOS, CA\|APTOS, CA\|SAN DIEGO, CA	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jun 27, 2016	Jun 26, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	I••••• I••••••••	Jun 26, 2018	Jan 1, 2025	2,381	Firm change after gap	Ibd to RIA
P•••••••• I•••••••• O• A••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jul 22, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134139:289028:CA:2018-06-26	Jun 26, 2018	Jan 1, 2025	SAN DIEGO, CA	Firm change after gap
6082:134139:CA:2016-07-22	Jul 22, 2016	Jun 27, 2016	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (7)

→ I••••• I••••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 27, 2016 to Jun 26, 2018factForm ADV
→ P•••••••• I•••••••• O• A••••••Registered adviserregistration: previous registration
Nov 6, 2014 to Jul 22, 2016factForm ADV
→ B••• S••••• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41f9c3d1-59f0-725b-88a4-b9c84933ec20
First observed: Oct 11, 2004
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.