DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

F•••••••• A••• F•••••

Advisor at O•••••• F•••••••• C••••••••• I••

GRASS VALLEY, CA

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Search this name across graphsid dfx:ria:421ce560-4ba8-3022-1251-a324e77da049

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 24, 2000 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•••••• F•••••••• C••••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••••• F•••••••• C••••••••• I••	Independent wealth	Apr 6, 2018	n/a	yes	GRASS VALLEY, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	May 24, 2000	Nov 29, 2017	no	GRASSVALLEY, CA\|GRASS VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	O•••••• F•••••••• C••••••••• I••	Nov 29, 2017	Apr 6, 2018	128	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:110064:CA:2017-11-29	Nov 29, 2017	Apr 6, 2018	GRASS VALLEY, CA	Firm change

Relationships

Registered with (2)

→ O•••••• F•••••••• C••••••••• I••Registered adviserregistration: current employment
Apr 6, 2018 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
May 24, 2000 to Nov 29, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:421ce560-4ba8-3022-1251-a324e77da049
First observed: May 24, 2000
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.