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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

E••••• A•••• D••••

Advisor at F•••••••• P••••••• C••••••••• L••

San Jose, CA

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Search this name across graphsid dfx:ria:ac8124c7-28f6-b002-b2b3-4eeb075d3b3c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2010 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: F•••••••• P••••••• C••••••••• L••
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
F•••••••• P••••••• C••••••••• L••	Former SEC adviser	Mar 12, 2010	n/a	yes	San Jose, CA	Current employment
N•• A•••••• S•••••••• L••	Former SEC adviser	Jan 4, 2010	Jan 22, 2015	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
N•• A•••••• S•••••••• L••	F•••••••• P••••••• C••••••••• L••	Jan 22, 2015	Mar 12, 2010	-1,777	Firm change after gap	Other

Relationships

Registered with (2)

→ F•••••••• P••••••• C••••••••• L••Registered adviserregistration: current employment
Mar 12, 2010 to presentfactForm ADV
→ N•• A•••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 4, 2010 to Jan 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac8124c7-28f6-b002-b2b3-4eeb075d3b3c
First observed: Jan 4, 2010
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.