DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

M••••••• N••••• Q••••••

Advisor at W•••• F•••• A•••••••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a4b3fcd-7611-61f5-1f87-c7cc0c740780

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 9, 1998 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 5, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	May 1, 2024	n/a	yes	WALNUT CREEK, CA\|CONCORD, CA\|PLEASANT HILL, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Apr 17, 2020	Mar 5, 2024	no	San Francisco, CA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	W•••• F•••• A•••••••	Mar 5, 2024	May 1, 2024	57	Firm change	Ibd to wirehouse
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Feb 12, 2020	Apr 17, 2020

Team moves

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Team	Left	Joined	From	Kind
111514:7870:CA:2020-01-31	Feb 12, 2020	Aug 16, 2018	WALNUT CREEK, CA	Firm change after gap

Relationships

Registered with (9)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
May 1, 2024 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Apr 17, 2020 to Mar 5, 2024factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 16, 2018 to Feb 12, 2020factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Mar 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a4b3fcd-7611-61f5-1f87-c7cc0c740780
First observed: Jan 9, 1998
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.