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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

D•••••• M• A•••••

Advisor at S••••• W••••• A•••••••• I•••

Parker, CO | SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:612415d5-bc4e-25d0-f3c0-0e54ee0e588a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 9, 2015 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••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
S••••• W••••• A•••••••• I•••	No RAUM reported	Apr 28, 2021	n/a	yes	SAN FRANCISCO, CA\|Parker, CO	Current employment
U••• I••••••••• S••••••• C••••••	No RAUM reported	Jan 8, 2018	May 24, 2020	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
U••• I••••••••• S••••••• C••••••	S••••• W••••• A•••••••• I•••	May 24, 2020	Apr 28, 2021	339	Firm change	Other
U••• F•••••••• P••••••• S•••••••	U••• I••••••••• S••••••• C••••••	Jan 8, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
5475:159035:TX:2020-05-24	May 24, 2020	Apr 28, 2021	SAN ANTONIO, TX	Firm change

Relationships

Registered with (3)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 28, 2021 to presentfactForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Oct 9, 2015 to Jan 8, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:612415d5-bc4e-25d0-f3c0-0e54ee0e588a
First observed: Oct 9, 2015
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.