DFX Intelligence

D••••• C•••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst40 years in industry

D••••• C•••• G•••••

Advisor at F•••• P••••••• W•••••• L••

MENLO PARK, CA | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:4d3a9828-32b0-3fbe-4bc8-27a1675785f3

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 14, 1999 to Sep 17, 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: F•••• P••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 19, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P••••••• W•••••• L••	Independent wealth	Jul 1, 2024	n/a	yes	MENLO PARK, CA\|ST. LOUIS, MO	Current employment
B••••••••• S•••••••• W•••••• L••	Former SEC adviser	Jun 13, 2019	Nov 14, 2024	no	ST LOUIS, MO\|PALO ALTO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S•••••••• W•••••• L••	F•••• P••••••• W•••••• L••	Nov 14, 2024	Jul 1, 2024	-136	Bulk transfer	RIA to RIA
D•• G••••• F•••••••• S••••••• L••	B••••••••• S•••••••• W•••••• L••	May 31, 2019	Jun 13, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
149887:143323:CA:2019-05-31	May 31, 2019	Jun 13, 2019	PALO ALTO, CA	Firm change

Relationships

Registered with (5)

→ F•••• P••••••• W•••••• L••Registered adviserregistration: current employment
Jul 1, 2024 to presentfactForm ADV
→ B••••••••• S•••••••• W•••••• L••Registered adviserregistration: previous registration
Jun 13, 2019 to Nov 14, 2024factForm ADV
→ D•• G••••• F•••••••• S••••••• L••Registered adviserregistration: previous registration
Jun 17, 2009 to May 31, 2019factForm ADV
→ P••••••••• A••••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d3a9828-32b0-3fbe-4bc8-27a1675785f3
First observed: Jan 14, 1999
Last observed: Sep 17, 2026 6 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.