DFX Intelligence

D••• G•••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

D••• G•••••• D••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

KLAMATH FALLS, OR | SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:86186c3b-713b-1263-9a81-210a01d14747

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 20, 2013 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 30, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Aug 9, 2019	n/a	yes	KLAMATH FALLS, OR\|SCOTTSDALE, AZ	Current employment
C••••• A••••••• L••	Former SEC adviser	Feb 20, 2013	Aug 9, 2019	no	KLAMATH FALLS, OR\|GREENWOOD VILLAGE, CO\|KLAMATH FALLS, OR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Aug 9, 2019	Aug 9, 2019	0	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Aug 9, 2019 to presentfactForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Feb 20, 2013 to Aug 9, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86186c3b-713b-1263-9a81-210a01d14747
First observed: Feb 20, 2013
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.