DFX Intelligence

N•••••• W••••• H•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

N•••••• W••••• H•••••••

Advisor at R••••• W• B•••• • C•• I•••••••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2006 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Jun 29, 2012	n/a	yes	Emerald Hills, CA\|Mill Valley, CA\|ROSEVILLE, CA	Current employment
B•••••••• F••• A•••••••	Asset manager	Aug 27, 2008	Aug 20, 2012	no	SAN FRANCISCO, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• F••• A•••••••	R••••• W• B•••• • C•• I•••••••••	Aug 20, 2012	Jun 29, 2012	-52	Firm change after gap	Other
T••••••••• L••	B•••••••• F••• A•••••••	Aug 11, 2008	Aug 27, 2008

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Jun 29, 2012 to presentfactForm ADV
→ B•••••••• F••• A•••••••Registered adviserregistration: previous registration
Aug 27, 2008 to Aug 20, 2012factForm ADV
→ T••••••••• L••Registered adviserregistration: previous registration
Feb 17, 2006 to Aug 11, 2008factForm ADV

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Only bookkeeping events name this entity; they are folded below.

Show 1 bookkeeping event

Occurred
Sep 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 17, 2006
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.