DFX Intelligence

P•••• C••• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

P•••• C••• B••••••••

Advisor at A•••• W••••• M••••••••• A•• P••••••• L••

NOVATO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2002 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•••• W••••• M••••••••• A•• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 4, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• M••••••••• A•• P••••••• L••	Independent wealth	Mar 6, 2015	n/a	yes	NOVATO, CA\|NOVATO, CA	Current employment
A• G• E•••••• • S•••• I•••	n/a	Jan 11, 2002	Jan 11, 2005	no	SAN RAFAEL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A• G• E•••••• • S•••• I•••	A•••• W••••• M••••••••• A•• P••••••• L••	Jan 11, 2005	Mar 6, 2015	3,706	Firm change after gap	Other

Relationships

Registered with (2)

→ A•••• W••••• M••••••••• A•• P••••••• L••Registered adviserregistration: current employment
Mar 6, 2015 to presentfactForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jan 11, 2002 to Jan 11, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2002
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.