DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

E•••••• A••••• P•••••

Advisor at I••••••• F•••••••• S••••••• A•••••••

OAKLAND, CA | Ooltewah, TN

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Search this name across graphsid dfx:ria:4c3e1a86-3165-3f32-f42d-ab2a75eda317

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2006 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: I••••••• F•••••••• S••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 11, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••• F•••••••• S••••••• A•••••••	Independent wealth	Apr 29, 2020	n/a	yes	OAKLAND, CA\|Ooltewah, TN	Current employment
I•••••••• C•••••• A•••••••	Former SEC adviser	Mar 9, 2015	Jul 23, 2016	no	OOLTEWAH, TN\|LYNNFIELD, MA\|OOLTEWAH, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• C•••••• A•••••••	I••••••• F•••••••• S••••••• A•••••••	Jul 23, 2016	Apr 29, 2020	1,376	Firm change after gap	Other
N••• F•••••••• G••••• I•••	I•••••••• C•••••• A•••••••	Dec 3, 2014	Mar 9, 2015

Relationships

Registered with (3)

→ I••••••• F•••••••• S••••••• A•••••••Registered adviserregistration: current employment
Apr 29, 2020 to presentfactForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Mar 9, 2015 to Jul 23, 2016factForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Aug 9, 2006 to Dec 3, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c3e1a86-3165-3f32-f42d-ab2a75eda317
First observed: Aug 9, 2006
Last observed: Sep 15, 2026 8 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.