DFX Intelligence

G•••••• M• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

G•••••• M• S••••••

Advisor at F•••• T•••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:77daab78-41a9-b6c5-a732-ad642cae48b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 4, 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: F•••• T•••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	Jul 8, 2026	n/a	yes	SAN JOSE, CA\|Saratoga, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 3, 2023	n/a	yes	San Jose, CA\|Saratoga, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• S•••••••••	A••••••••• F•••••••• S•••••••• L••	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
A••••••••• F•••••••• S•••••••• L••	C••••••• S•••••••••	Mar 24, 2008	Jun 26, 2008

Relationships

Registered with (3)

→ F•••• T•••• S••••••••• I•••Registered adviserregistration: current employment
Jul 8, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 4, 2008 to Mar 24, 2008factForm ADV
→ C••••••• S•••••••••Registered adviserregistration: previous registration
Jun 26, 2008 to Nov 3, 2023factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77daab78-41a9-b6c5-a732-ad642cae48b9
First observed: Feb 4, 2008
Last observed: Sep 14, 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.