DFX Intelligence

A••••• F••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

A••••• F••• B••••

Advisor at A••••• A•• P••••••• S•••••••

Walnut Creek, CA

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Search this name across graphsid dfx:ria:baeea978-b09c-d6a8-fb60-a26ae9cb0e25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2003 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••••• A•• P••••••• S•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 21, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Dec 12, 2025	n/a	yes	Walnut Creek, CA\|Walnut Creek, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Aug 25, 2025	no	WALNUT CREEK, CA\|SOUTH SAN FRANCISCO, CA\|SALT LAKE CITY, UT\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	A••••• A•• P••••••• S•••••••	Aug 25, 2025	Dec 12, 2025	109	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
104555:20472:MA:2025-08-25	Aug 25, 2025	Dec 12, 2025	BOSTON, MA	Firm change
7691:79:CA:2018-01-02	Jan 2, 2018	Jan 11, 2018	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (8)

→ A••••• A•• P••••••• S•••••••Registered adviserregistration: current employment
Dec 12, 2025 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Aug 25, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jan 25, 2021 to Mar 31, 2025factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Aug 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:baeea978-b09c-d6a8-fb60-a26ae9cb0e25
First observed: Mar 25, 2003
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.