DFX Intelligence

R••••• D•••••••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R••••• D•••••••• W•••••••

Advisor at W•••• F•••• A•••••••

SANTA ROSA, CA | NOVATO, CA

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Search this name across graphsid dfx:ria:4b6980bd-777c-24bd-f494-eda017c07b5b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 27, 2005 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Nov 21, 2025	n/a	yes	NOVATO, CA\|SANTA ROSA, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 1, 2025	Nov 6, 2025	no	Novato, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	W•••• F•••• A•••••••	Nov 6, 2025	Nov 21, 2025	15	Firm change	Ibd to wirehouse
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	May 23, 2025	Jul 1, 2025

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to May 23, 2025factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 1, 2025 to Nov 6, 2025factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Jun 27, 2005 to Jan 3, 2011factForm ADV

Dated events

Occurred
Nov 6, 2025
Advisor changed firm
R••••• D•••••••• W••••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2025-11-21)
Form ADVobserved 7 days ago
Occurred
May 23, 2025
Advisor changed firm
R••••• D•••••••• W••••••• left W•••• F•••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2025-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b6980bd-777c-24bd-f494-eda017c07b5b
First observed: Jun 27, 2005
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.