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

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RIA / WealthAdvisor33 years in industry

M•••••• R•••••• S•••••••••

Advisor at A•••••••• W••••• P•••••••• L••

PLEASANT HILL, CA

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Search this name across graphsid dfx:ria:af0cebd8-beec-537e-d421-d9b91705a4aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 9, 2000 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••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• W••••• P•••••••• L••	Independent wealth	Mar 7, 2008	n/a	yes	PLEASANT HILL, CA	Current employment
E••••• P•••••••• I•••	Former SEC adviser	Jun 27, 2007	Jan 24, 2008	no	NOVATO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• P•••••••• I•••	A•••••••• W••••• P•••••••• L••	Jan 24, 2008	Mar 7, 2008	43	Firm change	Other
C•••••• S••••• • C••• I•••	E••••• P•••••••• I•••	Jul 19, 2005	Jun 27, 2007

Relationships

Registered with (3)

→ A•••••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Mar 7, 2008 to presentfactForm ADV
→ E••••• P•••••••• I•••Registered adviserregistration: previous registration
Jun 27, 2007 to Jan 24, 2008factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
May 9, 2000 to Jul 19, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af0cebd8-beec-537e-d421-d9b91705a4aa
First observed: May 9, 2000
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.