DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R•••••• G••••••• R••••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Pleasanton, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2016 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jun 14, 2016	n/a	yes	Pleasanton, CA	Current employment
P•••••••• I•••••••• O• A••••••	Former SEC adviser	Jan 4, 2016	Jul 22, 2016	no	SAN FRANCISCO, CA\|FREMONT, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• I•••••••• O• A••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jul 22, 2016	Jun 14, 2016	-38	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
6082:134139:CA:2016-07-22	Jul 22, 2016	Jun 14, 2016	FREMONT, CA	Firm change after gap

Relationships

Registered with (2)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jun 14, 2016 to presentfactForm ADV
→ P•••••••• I•••••••• O• A••••••Registered adviserregistration: previous registration
Jan 4, 2016 to Jul 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 4, 2016
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.