DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor31 years in industry

S•••• M•••••• S•••••••

Advisor at E•• W••••• M•••••••••

San Francisco, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7dfa3456-2c73-5107-d81b-0da1f6917615

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
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: E•• W••••• M•••••••••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jun 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•• W••••• M•••••••••	No RAUM reported	Aug 17, 2026	n/a	yes	San Francisco, CA	Current employment
P••••••• A•••••••• L••	Independent wealth	Nov 13, 2023	Jun 3, 2025	no	SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• A•••••••• L••	E•• W••••• M•••••••••	Jun 3, 2025	Aug 17, 2026	440	Firm change after gap	RIA to new firm
C•••••• W••••• A••••••• G••••	P••••••• A•••••••• L••	May 19, 2022	Nov 13, 2023

Relationships

Registered with (5)

→ E•• W••••• M•••••••••Registered adviserregistration: current employment
Aug 17, 2026 to presentfactForm ADV
→ P••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 13, 2023 to Jun 3, 2025factForm ADV
→ C•••••• W••••• A••••••• G••••Registered adviserregistration: previous registration
Feb 8, 2022 to May 19, 2022factForm ADV
→ S••••••• C•••••• M•••••••••Registered adviser

Dated events

Occurred
Jun 3, 2025
Advisor changed firm
S•••• M•••••• S••••••• left P••••••• A•••••••• L•• for E•• W••••• M••••••••• (registered 2026-08-17)
Form ADVobserved 7 days ago
Occurred
May 19, 2022
Advisor changed firm
S•••• M•••••• S••••••• left C•••••• W••••• A••••••• G•••• for P••••••• A•••••••• L•• (registered 2023-11-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dfa3456-2c73-5107-d81b-0da1f6917615
First observed: Jul 8, 1997
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.