DFX Intelligence

M••• W•••••• L••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst29 years in industry

M••• W•••••• L••••••••

Advisor at S•••••••• W••••• M••••••••• L••

Tiburon, CA

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Search this name across graphsid dfx:ria:50e47b93-c365-d78a-f494-6079ce5cdf84

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2006 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•••••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Apr 23, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• W••••• M••••••••• L••	State registered	Jun 2, 2017	n/a	yes	Tiburon, CA	Current employment
A••••••• C•••••• P•••••••	Former SEC adviser	Feb 4, 2008	Apr 4, 2017	no	SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• C•••••• P•••••••	S•••••••• W••••• M••••••••• L••	Apr 4, 2017	Jun 2, 2017	59	Firm change	Other
A••••••• • C• I••	A••••••• C•••••• P•••••••	Jul 16, 2007	Feb 4, 2008

Relationships

Registered with (3)

→ S•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jun 2, 2017 to presentfactForm ADV
→ A••••••• C•••••• P•••••••Registered adviserregistration: previous registration
Feb 4, 2008 to Apr 4, 2017factForm ADV
→ A••••••• • C• I••Registered adviserregistration: previous registration
Nov 15, 2006 to Jul 16, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50e47b93-c365-d78a-f494-6079ce5cdf84
First observed: Nov 15, 2006
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.