DFX Intelligence

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

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RIA / WealthAdvisor28 years in industry

D••••• F•••••• S••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | LIHUE, HI

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Search this name across graphsid dfx:ria:49cc39e5-942f-febb-1651-b85b9af59ec6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2000 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jan 1, 2026	n/a	yes	SCOTTSDALE, AZ\|LIHUE, HI	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Nov 1, 2013	Aug 15, 2024	no	FRESNO, CA\|Kapaa, HI\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Aug 15, 2024	Jan 1, 2026	504	Firm change after gap	Ibd to RIA
B• R•••• W••••• A•••••••• I•••	S•• I••••••••• A•••••••• I•••	Nov 1, 2013

Relationships

Registered with (6)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 1, 2013 to Aug 15, 2024factForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2009 to Nov 1, 2013factForm ADV
→ M••••• S••••••

Dated events

Occurred
Aug 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49cc39e5-942f-febb-1651-b85b9af59ec6
First observed: Jun 2, 2000
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.