DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

E•••••••• M• M•••

Advisor at T•• A•••••••• G••••

LAS VEGAS, NV | Fairfield, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Jan 20, 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: T•• A•••••••• G••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 5, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 13

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• G••••	Bd affiliated wealth	Nov 5, 2025	n/a	yes	LAS VEGAS, NV\|Fairfield, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Aug 1, 2023	Nov 4, 2025	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	T•• A•••••••• G••••	Nov 4, 2025	Nov 5, 2025	1	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Aug 1, 2023

Relationships

Registered with (13)

→ T•• A•••••••• G••••Registered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Aug 1, 2023 to Nov 4, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 21, 2022 to Jun 14, 2024factForm ADV
→ H•• I••••••••• P•••••••• L••

Dated events

Order

Occurred
4 Nov 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Jan 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Dec 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
29 Nov 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
31 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 20, 2004
Last observed: Sep 14, 2026 10 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.

All 14 rows

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Apr 4, 2013	Sep 4, 2014	no	San Francisco, CA	Previous registration
F•••••••• T••••••• I•••	Former SEC adviser	Jul 31, 2007	May 14, 2012	no	SAN RAFAEL, CA\|SAN RAFAEL, CA\|SAN RAFAEL, CA	Previous registration
C••••• A•••••• N••••••• L••	Former SEC adviser	Nov 14, 2006	Jul 30, 2007	no	Livermore, CA	Previous registration
E•••• N••••••• S••••••••• I•••	Former SEC adviser	Jan 20, 2004	Sep 1, 2006	no	NAPA, CA\|NAPA, CA	Previous registration

All 12 rows

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	F•••••••• T••••••• I•••	Jul 30, 2007	Jul 31, 2007	1	Firm change	Other
E•••• N••••••• S••••••••• I•••	C••••• A•••••• N••••••• L••	Sep 1, 2006	Nov 14, 2006	74	Firm change	Other