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

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

D•••• G••••• M••••••

Advisor at S••••• W••••• M••••••••• I•••

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:a9e096c3-d908-6750-52ec-28306102a3a2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2004 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: S••••• W••••• M••••••••• I•••
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: Mar 15, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

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
S••••• W••••• M••••••••• I•••	State registered	Jan 15, 2025	n/a	yes	SAN DIEGO, CA	Current employment
P••• F•••••••• A•••••••• L••	Independent wealth	Jun 6, 2014	May 12, 2017	no

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
P••• F•••••••• A•••••••• L••	S••••• W••••• M••••••••• I•••	May 12, 2017	Jan 15, 2025	2,805	Firm change after gap	Other
U••• B•••••• I••••••••• I•••	P••• F•••••••• A•••••••• L••	Aug 6, 2010

Relationships

Registered with (5)

→ S••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Jan 15, 2025 to presentfactForm ADV
→ P••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 6, 2014 to May 12, 2017factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 24, 2008 to Aug 6, 2010factForm ADV
→ C••••••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9e096c3-d908-6750-52ec-28306102a3a2
First observed: Jan 26, 2004
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.