DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

W•••••• C•••••• P••••••

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

Santa Rosa, CA | SOUTH JORDAN, UT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
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: D•••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 26, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••••• W••••• M••••••••• L••	Independent wealth	Jun 30, 2026	n/a	yes	SOUTH JORDAN, UT\|Santa Rosa, CA	Current employment
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 3, 2023	Aug 28, 2026	no	SOUTH JORDAN, UT\|SANTA ROSA, CA\|Santa Rosa, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••••• A••••••• S•••••••• L••	D•••••••• W••••• M••••••••• L••	Aug 28, 2026	Jun 30, 2026	-59	Firm change after gap	Ibd to RIA
W•••• F•••• A•••••••	D•••••••• A••••••• S•••••••• L••	Nov 3, 2022	Oct 3, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:326060:CA:2022-11-03	Nov 3, 2022	Oct 3, 2023	SANTA ROSA, CA	Firm change

Relationships

Registered with (5)

→ D•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jun 30, 2026 to presentfactForm ADV
→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 3, 2023 to Aug 28, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 13, 2009 to Nov 3, 2022factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

Order

Occurred
28 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Nov 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 8, 1997
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.