DFX Intelligence

C••••••••• B•••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

C••••••••• B•••• C••••••

Advisor at D••••••••• W••••• M••••••••• L••

Roseville, CA

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Search this name across graphsid dfx:ria:5f6ca5f7-8346-fcf8-3068-1e357c97e3c5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2003 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: D••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 11, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••••••••• W••••• M••••••••• L••	Independent wealth	Nov 5, 2018	n/a	yes	Roseville, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Nov 5, 2018	no	LINCOLN, CA\|Roseville, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	D••••••••• W••••• M••••••••• L••	Nov 5, 2018	Nov 5, 2018	0	Firm change	Wirehouse to new firm
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:298928:CA:2018-11-05	Nov 5, 2018	Nov 5, 2018	ROSEVILLE, CA	Firm change

Relationships

Registered with (4)

→ D••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 5, 2018 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 5, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Sep 14, 2007 to Jun 1, 2009factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f6ca5f7-8346-fcf8-3068-1e357c97e3c5
First observed: Jan 17, 2003
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.