DFX Intelligence

S•••••• W•••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

S•••••• W•••••• N•••••

Advisor at F••••• I•••••••••

PLANO, TX | Oakland, CA

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Search this name across graphsid dfx:ria:b4ff7a65-921f-f96d-70ee-633f414efb78

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 23, 2009 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••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••• I•••••••••	Independent wealth	May 14, 2024	n/a	yes	Oakland, CA\|PLANO, TX	Current employment
E•••••• A••••••• G••••• L••	Bd affiliated wealth	Apr 3, 2023	May 10, 2024	no	GREENWOOD VILLAGE, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A••••••• G••••• L••	F••••• I•••••••••	May 10, 2024	May 14, 2024	4	Firm change	Ibd to RIA
P••••••• C•••••• A••••••• C•••••••••	E•••••• A••••••• G••••• L••	Apr 3, 2023	Apr 3, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
112058:107342:CO:2024-04-30	May 10, 2024	May 14, 2024	GREENWOOD VILLAGE, CO	Firm change

Relationships

Registered with (5)

→ F••••• I•••••••••Registered adviserregistration: current employment
May 14, 2024 to presentfactForm ADV
→ E•••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Apr 3, 2023 to May 10, 2024factForm ADV
→ P••••••• C•••••• A••••••• C•••••••••Registered adviserregistration: previous registration
Oct 17, 2013 to Apr 3, 2023factForm ADV
→ T••••••• F••••••••• L••

Dated events

Occurred
May 10, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4ff7a65-921f-f96d-70ee-633f414efb78
First observed: Sep 23, 2009
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.