DFX Intelligence

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

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RIA / WealthAdvisor21 years in industry

P••• M•••••• L•••••••

Advisor at O••••••• W•••••

MODESTO, CA

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Search this name across graphsid dfx:ria:70906da2-c804-f803-1168-8d1983f73a72

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 24, 2004 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•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 22, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••• W•••••	Independent wealth	Jul 27, 2026	n/a	yes	MODESTO, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Sep 19, 2008	Aug 6, 2026	no	Stockton, CA\|Modesto, CA\|Stockton, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	O••••••• W•••••	Aug 6, 2026	Jul 27, 2026	-10	Firm change	Ibd to RIA
W•••• F•••• A•••••••	C•••••• S••••• • C••• I•••	Oct 29, 2008	Sep 19, 2008

Relationships

Registered with (4)

→ O••••••• W•••••Registered adviserregistration: current employment
Jul 27, 2026 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Sep 19, 2008 to Aug 6, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Oct 29, 2008factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviser

Dated events

Occurred
Aug 6, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70906da2-c804-f803-1168-8d1983f73a72
First observed: Nov 24, 2004
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.