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

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

D•••• S••••••••• S•••••

Advisor at A•••••••• A•••••••

PLEASANTON, CA

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Search this name across graphsid dfx:ria:9cc040ec-5752-6336-fce6-b7816e78eebd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 15, 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•••••••• A•••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• A•••••••	State registered	Feb 2, 2021	n/a	yes	PLEASANTON, CA	Current employment
N••••• • C••••••	Independent wealth	Aug 25, 2018	May 17, 2019	no	Orinda, CA\|ORINDA, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• • C••••••	A•••••••• A•••••••	May 17, 2019	Feb 2, 2021	627	Firm change after gap	RIA to state RIA
A•••••••• A•••••••	N••••• • C••••••	Oct 21, 2018

Relationships

Registered with (4)

→ A•••••••• A•••••••Registered adviserregistration: current employment
Feb 2, 2021 to presentfactForm ADV
→ N••••• • C••••••Registered adviserregistration: previous registration
Aug 25, 2018 to May 17, 2019factForm ADV
→ A•••••••• A•••••••Registered adviserregistration: previous registration
Apr 13, 2007 to Oct 21, 2018factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9cc040ec-5752-6336-fce6-b7816e78eebd
First observed: Oct 15, 2002
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.