DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

C•••• W•••••• S•••

Advisor at S••• F•••••••• G••••• I•••

ALAMEDA, 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, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 30, 1998 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: S••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• F•••••••• G••••• I•••	Independent wealth	Sep 25, 2019	n/a	yes	ALAMEDA, CA	Current employment
G••••• S••••••••• I•••	Former SEC adviser	Jul 19, 2013	Apr 11, 2017	no	ALAMEDA, CA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• S••••••••• I•••	S••• F•••••••• G••••• I•••	Apr 11, 2017	Sep 25, 2019	897	Firm change after gap	Other
E••••• J••••	G••••• S••••••••• I•••	Jun 17, 2013	Jul 19, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
18697:285426:CA:2017-04-11	Apr 11, 2017	Sep 25, 2019	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (4)

→ S••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Sep 25, 2019 to presentfactForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 19, 2013 to Apr 11, 2017factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jan 19, 2007 to Jun 17, 2013factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 30, 1998
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.