DFX Intelligence

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

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RIA / WealthAdvisor20 years in industry

R•••••• D•••• L•••

Advisor at O••••• W••••• M••••••••• L••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:69b06ce2-383a-8cd0-8e39-55a596fafb2d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2008 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: O••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••• W••••• M••••••••• L••	State registered	Mar 7, 2023	n/a	yes	SACRAMENTO, CA	Current employment
G••••• F•••••••• P•••••• C••••••• I•••	Former SEC adviser	Jun 22, 2010	Dec 12, 2012	no	CAMPBELL, CA\|SARASOTA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• F•••••••• P•••••• C••••••• I•••	O••••• W••••• M••••••••• L••	Dec 12, 2012	Mar 7, 2023	3,737	Firm change after gap	Other
H••••• I••••••••• M••••••••• L••	G••••• F•••••••• P•••••• C••••••• I•••	Jun 18, 2010	Jun 22, 2010

Relationships

Registered with (3)

→ O••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 7, 2023 to presentfactForm ADV
→ G••••• F•••••••• P•••••• C••••••• I•••Registered adviserregistration: previous registration
Jun 22, 2010 to Dec 12, 2012factForm ADV
→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 7, 2008 to Jun 18, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69b06ce2-383a-8cd0-8e39-55a596fafb2d
First observed: Jan 7, 2008
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.