DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

M••••••• R••• P•••••

Advisor at R•• C•••••• M••••••• L••

Lafayette, CA | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:9f09bf79-26c4-b644-f9bb-4afbb633597c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 10, 2007 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 23, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Apr 28, 2023	n/a	yes	SAN FRANCISCO, CA\|Lafayette, CA	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Sep 8, 2017	May 19, 2023	no	San Francisco, CA\|San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	R•• C•••••• M••••••• L••	May 19, 2023	Apr 28, 2023	-21	Firm change	Ibd to ibd
U•• F•••••••• S••••••• I•••	J••• M••••• P•••••• W••••• A••••••• L••	Sep 15, 2017	Sep 8, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
108559:31194:CA:2023-05-08	May 19, 2023	Apr 28, 2023	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Apr 28, 2023 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Sep 8, 2017 to May 19, 2023factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 10, 2007 to Sep 15, 2017factForm ADV

Dated events

Occurred
May 19, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f09bf79-26c4-b644-f9bb-4afbb633597c
First observed: Jul 10, 2007
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.