DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

B•••• S••••• T••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Rohnert Park, CA | Santa Rosa, CA

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Search this name across graphsid dfx:ria:860c15f9-461d-db62-fcfa-350b98168524

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 15, 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 25, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jan 1, 2025	n/a	yes	Rohnert Park, CA\|Santa Rosa, CA	Current employment
M••••• A•••••••• L••	Bd affiliated wealth	Jul 1, 2013	Jul 27, 2020	no	OMAHA, NE\|SANTA ROSA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• A•••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jul 27, 2020	Jan 1, 2025	1,619	Firm change after gap	Ibd to ibd
M••••• S••••••••• I•••	M••••• A•••••••• L••	Jul 9, 2013	Jul 1, 2013

Relationships

Registered with (5)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ M••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 1, 2013 to Jul 27, 2020factForm ADV
→ M••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 18, 2008 to Jul 9, 2013factForm ADV
→ F•••• M•••••• S••••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:860c15f9-461d-db62-fcfa-350b98168524
First observed: Jul 8, 1997
Last observed: Sep 15, 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.