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

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RIA / WealthAdvisor39 years in industry

R••••• L•••• M•••••••

Advisor at R•••••• F•••••••• A•••••••• I••

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:60dc1c7b-391d-0e42-4610-083ece841cee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: R•••••• F•••••••• A•••••••• I••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 28derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• F•••••••• A•••••••• I••	State registered	Oct 9, 1997	n/a	yes	SAN RAFAEL, CA	Current employment
T•• S•••••••• F•••••••• A•••••••	Bd affiliated wealth	Oct 31, 2003	Oct 17, 2011	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T•• S•••••••• F•••••••• A•••••••	n/a	Oct 17, 2011	n/a	n/a	Departure no registered destination	Departure
I•• A••••••• S••••••• I••	R•••••• F•••••••• A•••••••• I••	Nov 18, 2003	Oct 9, 1997

Relationships

Registered with (3)

→ R•••••• F•••••••• A•••••••• I••Registered adviserregistration: current employment
Oct 9, 1997 to presentfactForm ADV
→ T•• S•••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Oct 31, 2003 to Oct 17, 2011factForm ADV
→ I•• A••••••• S••••••• I••Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 18, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60dc1c7b-391d-0e42-4610-083ece841cee
First observed: Jul 8, 1997
Last observed: Sep 14, 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.