DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

M•••••• P•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• 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:a6dda651-b117-d863-3d61-7079a5b3d007

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Oct 26, 2010 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 9, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 19, 2021	n/a	yes	Stockton, CA\|WALNUT CREEK, CA\|Brentwood, CA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jan 10, 2020	Jul 19, 2021	no	SAN DIEGO, CA\|WALNUT CREEK, CA\|San Rafael, CA\|SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••••• F•••••••• S•••••••• L••	I••••••••• F•••••••• G••••• L••	Jan 6, 2022	Jan 10, 2020	-727	Firm change after gap	RIA to RIA
I••••••••• F•••••••• G••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 19, 2021	Jul 19, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:20804:CA:2017-06-15	Jun 15, 2017	Jun 15, 2017	WALNUT CREEK, CA	Firm change

Relationships

Registered with (8)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 19, 2021 to presentfactForm ADV
→ O•••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 3, 2020 to Jan 6, 2022factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jan 10, 2020 to Jul 19, 2021factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Jan 6, 2022
Advisor changed firm
M•••••• P••••• left O•••••••• F•••••••• S•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2020-01-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6dda651-b117-d863-3d61-7079a5b3d007
First observed: Oct 26, 2010
Last observed: Sep 15, 2026 7 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.