DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

N••••• A••••

Advisor at O•••• A••••••• S•••••••• L••

SANTA ROSA, CA | Milpitas, CA

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Search this name across graphsid dfx:ria:590c2907-0209-bee6-b1b7-63840b4ea6c2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 26, 2009 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: O•••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 8, 2024	n/a	yes	Milpitas, CA\|SANTA ROSA, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	Milpitas, CA\|SANTA ROSA, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• P•••• A•••••••	O•••• W•••••• I•••	Nov 8, 2024	Jun 14, 2024	-147	Channel change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	A•••• P•••• A•••••••	Jun 14, 2024	Mar 22, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
165127:23131:CA:2024-11-08	Nov 8, 2024	Jun 14, 2024	SANTA ROSA, CA	Firm change after gap
110518:165127:CA:2024-06-14	Jun 14, 2024	Mar 22, 2017	SANTA ROSA, CA	Firm change after gap

Relationships

Registered with (8)

→ O•••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ A•••• P•••• A•••••••Registered adviserregistration: previous registration
Mar 22, 2017 to Nov 8, 2024factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:590c2907-0209-bee6-b1b7-63840b4ea6c2
First observed: May 26, 2009
Last observed: Sep 15, 2026 7 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.