DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst25 years in industry

M••••••• L••••••••• S••••••••

Advisor at S••••• W••••• M•••••••••

Walnut Creek, CA | ROCKFORD, IL

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Search this name across graphsid dfx:ria:5245632c-790b-24eb-1ebc-115e3482e830

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 4, 2017 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	May 1, 2026	n/a	yes	ROCKFORD, IL\|Walnut Creek, CA	Current employment
D•••••• W••••• M••••••••• I•••	Former SEC adviser	Apr 4, 2017	Jun 12, 2026	no	Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••• W••••• M••••••••• I•••	S••••• W••••• M•••••••••	Jun 12, 2026	May 1, 2026	-42	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
118200:107271:CA:2026-06-12	Jun 12, 2026	May 1, 2026	WALNUT CREEK, CA	Firm change after gap

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
May 1, 2026 to presentfactForm ADV
→ D•••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 4, 2017 to Jun 12, 2026factForm ADV

Dated events

Occurred
Jun 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5245632c-790b-24eb-1ebc-115e3482e830
First observed: Apr 4, 2017
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.