DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner39 years in industry

S••••• B••••••••

Advisor at P•••••• W••••• M••••••••• L••

SAN FRANCISCO, CA | CRANBURY, NJ

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Search this name across graphsid dfx:ria:82f712f4-4fbc-83ec-d082-bb989abd746a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 25, 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: P•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• W••••• M••••••••• L••	Independent wealth	Nov 15, 2022	n/a	yes	CRANBURY, NJ\|SAN FRANCISCO, CA	Current employment
P• W••••• M••••••••• L••	Former SEC adviser	Mar 19, 2019	Dec 19, 2022	no	Cranbury, NJ\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P• W••••• M••••••••• L••	P•••••• W••••• M••••••••• L••	Dec 19, 2022	Nov 15, 2022	-34	Firm change after gap	RIA to RIA
P•••••• A•••••• G••••• L••	P• W••••• M••••••••• L••	Mar 14, 2019	Mar 19, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
298324:131037:NY:2022-12-19	Dec 19, 2022	Nov 15, 2022	NEW YORK, NY	Firm change after gap
155216:298324:NJ:2019-03-14	Mar 14, 2019	Mar 19, 2019	CRANBURY, NJ	Firm change

Relationships

Registered with (5)

→ P•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 15, 2022 to presentfactForm ADV
→ P• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 19, 2019 to Dec 19, 2022factForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
Feb 13, 2017 to Mar 14, 2019factForm ADV
→ S••••• C•••••• M••••••••• L••

Dated events

Occurred
Dec 19, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82f712f4-4fbc-83ec-d082-bb989abd746a
First observed: Oct 25, 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.