DFX Intelligence

W••••• • T•• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM under $100M

W••••• • T•• P••••••• L••

CRD 136450

WALNUT CREEK, CA

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Data as of Jan 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2026 to Jan 9, 2026
1 observation

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $75.0M••• Locked
Discretionary RAUM: $55.0M
Private client RAUM: $75.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• A••• G••••••••	Certified Financial Planner	WALNUT CREEK, CA	23	28	n/a	no
T••••• W•••••• S•••••	n/a	WALNUT CREEK, CA \| DANVILLE, CA	11	19

Relationships

Registered with (3)

← T••••• W•••••• S•••••Advisorregistration: current employment
Mar 13, 2015 to presentfactForm ADV
← M••• A••• G••••••••Advisorregistration: current employment
May 6, 2003 to presentfactForm ADV
← P•••••• M••••• S•••••Advisorregistration: previous registration
Oct 22, 2014 to May 6, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 9, 2026
Last observed: Jan 9, 2026 8 months ago
Source families: Federal regulator filings
3 registered feeds 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.