DFX Intelligence

M••• A•••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

M••• A•••••• M•••••

Advisor at W•••• F•••• A•••••••

PLEASANTON, CA

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Search this name across graphsid dfx:ria:8c8dd1c6-f667-5fc4-151b-871a09f020b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 30, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Mar 3, 2009	n/a	yes	PLEASANTON, CA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jul 8, 1997	Mar 23, 2009	no	PLEASANTON, CA\|PLEASANTON, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	Mar 23, 2009	Mar 3, 2009	-20	Firm change	Other

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Mar 3, 2009 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Mar 23, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c8dd1c6-f667-5fc4-151b-871a09f020b3
First observed: Jul 8, 1997
Last observed: Sep 14, 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.