DFX Intelligence

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

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RIA / WealthAdvisor43 years in industry

G••• A••• P••••••

Advisor at R••••••• W••••• M•••••••••

NEW YORK, NY | Newport, CA

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Search this name across graphsid dfx:ria:c30f8777-3c1e-ae1e-372f-8c533c64d14e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: R••••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 29, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••• W••••• M•••••••••	Independent wealth	Dec 4, 2017	n/a	yes	Newport, CA\|NEW YORK, NY	Current employment
P•••••• A•••• M••••••••• I••	Former SEC adviser	Nov 16, 2005	Dec 11, 2017	no	COSTA MESA, CA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• A•••• M••••••••• I••	R••••••• W••••• M•••••••••	Dec 11, 2017	Dec 4, 2017	-7	Firm change	Other
G••••• J•••• I••••••••• C••••••	P•••••• A•••• M••••••••• I••	Nov 15, 2005	Nov 16, 2005

Relationships

Registered with (3)

→ R••••••• W••••• M•••••••••Registered adviserregistration: current employment
Dec 4, 2017 to presentfactForm ADV
→ P•••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Nov 16, 2005 to Dec 11, 2017factForm ADV
→ G••••• J•••• I••••••••• C••••••Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 15, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c30f8777-3c1e-ae1e-372f-8c533c64d14e
First observed: Jul 8, 1997
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.