DFX Intelligence

P•••• R•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

P•••• R•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Monterey, CA | San Francisco, CA

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Search this name across graphsid dfx:ria:5e27345b-142f-7fed-8b4c-fccaa3acbe26

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2007 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 20, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 13, 2023	n/a	yes	Monterey, CA\|San Francisco, CA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Aug 15, 2017	Jun 27, 2023	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jun 27, 2023	Jun 13, 2023	-14	Firm change	Ibd to ibd
S••••••••• C•••••• L••	R•• C•••••• M••••••• L••	Aug 2, 2018	Aug 15, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
31194:6363:CA:2023-06-27	Jun 27, 2023	Jun 13, 2023	SAN FRANCISCO, CA	Firm change
31194:173383:CA:2017-06-01	Jun 13, 2017	Jul 12, 2017	MONTEREY, CA	Firm change

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 13, 2023 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Aug 15, 2017 to Jun 27, 2023factForm ADV
→ S••••••••• C•••••• L••Registered adviserregistration: previous registration
Jul 12, 2017 to Aug 2, 2018factForm ADV

Dated events

Occurred
Jun 27, 2023
Advisor changed firm
P•••• R••••••••• left R•• C•••••• M••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e27345b-142f-7fed-8b4c-fccaa3acbe26
First observed: Apr 23, 2007
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.