DFX Intelligence

W•••••• D•••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst32 years in industry

W•••••• D•••• O••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | Greenbrae, CA

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Search this name across graphsid dfx:ria:6440d5a9-8d2b-f45a-6467-652d3883973b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 17, 1997 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 29, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Sep 3, 2024	n/a	yes	NEW YORK, NY\|Greenbrae, CA	Current employment
A••••• C••••••• L••	Former SEC adviser	Jul 13, 2015	Sep 10, 2024	no	GREENBRAE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• C••••••• L••	C••••• P••••••• L••	Sep 10, 2024	Sep 3, 2024	-7	Firm change	RIA to RIA
G•• A••••••• S•••••••• L••	A••••• C••••••• L••	Jul 13, 2015	Jul 13, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
272029:151559:CA:2024-09-10	Sep 10, 2024	Sep 3, 2024	GREENBRAE, CA	Firm change

Relationships

Registered with (6)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Sep 3, 2024 to presentfactForm ADV
→ A••••• C••••••• L••Registered adviserregistration: previous registration
Jul 13, 2015 to Sep 10, 2024factForm ADV
→ G•• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 11, 2014 to Jul 13, 2015factForm ADV
→ C•• C•••••• M••••••••• I••Registered adviser

Dated events

Occurred
Sep 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6440d5a9-8d2b-f45a-6467-652d3883973b
First observed: Dec 17, 1997
Last observed: Sep 15, 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.