DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner22 years in industry

A••• D•••• S•••••••••

Advisor at S••••••••• W••••• M••••••••• I•••

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:748ea14b-7f83-345c-248a-4b3ffc46486a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 8, 2006 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: S••••••••• W••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W••••• M••••••••• I•••	Independent wealth	Aug 6, 2025	n/a	yes	WALNUT CREEK, CA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Feb 21, 2018	Jul 14, 2025	no	Lafayette, CA\|SAN DIEGO, CA\|Alamo, CA\|Lafayette, CA\|Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••••••••• W••••• M••••••••• I•••	Jul 14, 2025	Aug 6, 2025	23	Firm change	Ibd to new firm
N••••••••• M••••• I••••••••• S•••••••••	C••••••••• F•••••••• N••••••	Mar 20, 2018	Feb 21, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:336637:CA:2025-07-14	Jul 14, 2025	Aug 6, 2025	WALNUT CREEK, CA	Firm change
2881:8032:CA:2018-03-20	Mar 20, 2018	Feb 21, 2018	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ S••••••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Aug 6, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Feb 21, 2018 to Jul 14, 2025factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
May 8, 2006 to Mar 20, 2018factForm ADV

Dated events

Occurred
Jul 14, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:748ea14b-7f83-345c-248a-4b3ffc46486a
First observed: May 8, 2006
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.