DFX Intelligence

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

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RIA / WealthAdvisor34 years in industry

C••••••••• S•••• D•••••

Advisor at A•••••••• W••••• M••••••••• C••••

MODESTO, CA

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Search this name across graphsid dfx:ria:9dc4c2af-6924-a41a-11e5-63c4b628ebb7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 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••••••••• C••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jul 17, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• W••••• M••••••••• C••••	State registered	May 21, 2014	n/a	yes	MODESTO, CA	Current employment
W•••••• S••••••••• I•••	Bd affiliated wealth	Nov 18, 2011	Mar 6, 2014	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|LA JOLLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• S••••••••• I•••	A•••••••• W••••• M••••••••• C••••	Mar 6, 2014	May 21, 2014	76	Firm change	Other

Relationships

Registered with (2)

→ A•••••••• W••••• M••••••••• C••••Registered adviserregistration: current employment
May 21, 2014 to presentfactForm ADV
→ W•••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 18, 2011 to Mar 6, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9dc4c2af-6924-a41a-11e5-63c4b628ebb7
First observed: Nov 18, 2011
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.