DFX Intelligence

E••• C•••••• M••••••• H••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

E••• C•••••• M••••••• H••••

Advisor at A••••••• F••••••••• L•••

FOLSOM, 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:85343598-8b41-8953-d59e-eb1d572d6bf9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 6, 2001 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Nov 12, 2007	n/a	yes	FOLSOM, CA	Current employment
P•••••• S•••••••• A•••••••	Former SEC adviser	Aug 10, 2011	Jun 28, 2012	no	FOLSOM, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• S•••••••• A•••••••	n/a	Jun 28, 2012	n/a	n/a	Departure no registered destination	Departure
A••••••• A••••••• S•••••••	A••••••• F••••••••• L•••	Dec 1, 2006	Nov 12, 2007	346

Relationships

Registered with (4)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Nov 12, 2007 to presentfactForm ADV
→ P•••••• S•••••••• A•••••••Registered adviserregistration: previous registration
Aug 10, 2011 to Jun 28, 2012factForm ADV
→ A••••••• A••••••• S•••••••Registered adviserregistration: previous registration
Mar 24, 2005 to Dec 1, 2006factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85343598-8b41-8953-d59e-eb1d572d6bf9
First observed: Feb 6, 2001
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.