DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

L••••• P•••••• S••••••••

Advisor at D•••••••• W••••• M••••••••• L••

Santa Rosa, CA | SOUTH JORDAN, UT

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:43e312de-be01-2c18-88d8-092dfe8bc893

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 26, 2020 to Sep 15, 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: D•••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
D•••••••• W••••• M••••••••• L••	Independent wealth	May 15, 2026	n/a	yes	SOUTH JORDAN, UT\|Santa Rosa, CA	Current employment
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 3, 2023	Aug 28, 2026	no	Santa Rosa, CA\|SANTA ROSA, CA\|SOUTH JORDAN, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••••• A••••••• S•••••••• L••	D•••••••• W••••• M••••••••• L••	Aug 28, 2026	May 15, 2026	-105	Firm change after gap	Ibd to RIA
W•••• F•••• A•••••••	D•••••••• A••••••• S•••••••• L••	Nov 3, 2022	Oct 3, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
326060:329878:CA:2026-08-28	Aug 28, 2026	May 15, 2026	SANTA ROSA, CA	Firm change after gap
19616:326060:CA:2022-11-03	Nov 3, 2022	Oct 3, 2023	SANTA ROSA, CA	Firm change

Relationships

Registered with (3)

→ D•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 15, 2026 to presentfactForm ADV
→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 3, 2023 to Aug 28, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 26, 2020 to Nov 3, 2022factForm ADV

Dated events

Occurred
Aug 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43e312de-be01-2c18-88d8-092dfe8bc893
First observed: Jun 26, 2020
Last observed: Sep 15, 2026 7 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.