DFX Intelligence

D••••• L•• S•• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

D••••• L•• S•• C••••

Advisor at S•• C•••• F••••••••

ROSEVILLE, CA

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Search this name across graphsid dfx:ria:884b8693-8f1c-adee-bd4d-1f08c0b50b61

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 18, 1999 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: S•• C•••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 12, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• C•••• F••••••••	Independent wealth	Feb 16, 2010	n/a	yes	ROSEVILLE, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Mar 18, 1999	Sep 29, 2017	no	SCOTTS VALLEY, CA\|ROSEVILLE, CA\|ORANGEVALE, CA\|CAPITOLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	S•• C•••• F••••••••	Sep 29, 2017	Feb 16, 2010	-2,782	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:151251:CA:2017-09-29	Sep 29, 2017	Feb 16, 2010	CAPITOLA, CA	Firm change after gap

Relationships

Registered with (2)

→ S•• C•••• F••••••••Registered adviserregistration: current employment
Feb 16, 2010 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Mar 18, 1999 to Sep 29, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:884b8693-8f1c-adee-bd4d-1f08c0b50b61
First observed: Mar 18, 1999
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.