DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

D•••• G•••• D•••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:4e81185b-30a6-3c9c-0a71-033e8b58164f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2005 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 22, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jan 27, 2012	n/a	yes	SAN FRANCISCO, CA	Current employment
T••••• W••••• P••••••• L••	Former SEC adviser	Jan 3, 2011	Mar 28, 2012	no	LONDON\|TORONTO, ONTARIO\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••• W••••• P••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Mar 28, 2012	Jan 27, 2012	-61	Channel change	Other
S•••••• N••••••• • C••••••• I•••••••••	T••••• W••••• P••••••• L••	Jan 4, 2011	Jan 3, 2011

Relationships

Registered with (5)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Jan 4, 2011factForm ADV
→ T••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Jan 3, 2011 to Mar 28, 2012factForm ADV
→ L•• F•••••••• I•••Registered adviserregistration: previous registration
Oct 29, 2010 to Dec 22, 2010factForm ADV
→ I••••••••• A••••••• G•••• C•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e81185b-30a6-3c9c-0a71-033e8b58164f
First observed: Nov 22, 2005
Last observed: Sep 14, 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.