DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

D•••••• M••••••• Y••••

Advisor at P••••• G••••• W••••• M••••••••• L••

DALY CITY, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2004 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: P••••• G••••• W••••• M••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Jan 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••• G••••• W••••• M••••••••• L••	Former SEC adviser	Jan 20, 2016	n/a	yes	DALY CITY, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 10, 2007	Oct 30, 2012	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	P••••• G••••• W••••• M••••••••• L••	Oct 30, 2012	Jan 20, 2016	1,177	Firm change after gap	Other
U•• F•••••••• S••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 21, 2007

Relationships

Registered with (3)

→ P••••• G••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 20, 2016 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 10, 2007 to Oct 30, 2012factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 5, 2004 to Aug 21, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 5, 2004
Last observed: Sep 14, 2026 10 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.