DFX Intelligence

P•••••• E••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor19 years in industry

P•••••• E••• C•••••

Advisor at M••••••

San Mateo, CA | Los Altos, CA

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Search this name across graphsid dfx:ria:4c1a35ab-7139-8cad-a266-9245f487a719

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 24, 2011 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: M••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••	Bd affiliated wealth	Mar 4, 2026	n/a	yes	Los Altos, CA\|San Mateo, CA	Current employment
S•••••••• L••	Independent wealth	Feb 4, 2025	Feb 20, 2026	no	FOSTER CITY, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• L••	M••••••	Feb 20, 2026	Mar 4, 2026	12	Firm change	RIA to ibd
A••••• A•• P••••••• S•••••••	S•••••••• L••	Jan 14, 2025	Feb 4, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
128586:140195:CA:2026-02-10	Feb 20, 2026	Mar 4, 2026	FOSTER CITY, CA	Firm change

Relationships

Registered with (5)

→ M••••••Registered adviserregistration: current employment
Mar 4, 2026 to presentfactForm ADV
→ S•••••••• L••Registered adviserregistration: previous registration
Feb 4, 2025 to Feb 20, 2026factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Aug 25, 2023 to Jan 14, 2025factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Feb 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 14, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c1a35ab-7139-8cad-a266-9245f487a719
First observed: Feb 24, 2011
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.