DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)24 years in industry

G••••••• C• C•••••

Advisor at O•••• W•••••• I•••

PLEASANTON, CA

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Search this name across graphsid dfx:ria:c5847fa4-dd00-12eb-c59c-5f65a11ded1d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2002 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 26, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	PLEASANTON, CA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Dec 8, 2016	Jun 14, 2024	no	LIVERMORE, CA\|PLEASANTON, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
F••••••• S••••••••• I•••	C•••••• I•••••• P•••••••• L••	Dec 8, 2016	Jan 2, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
1027:147165:CA:2016-12-08	Dec 8, 2016	Jan 2, 2014	SANTA CLARA, CA	Firm change after gap

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 8, 2016 to Jun 14, 2024factForm ADV
→ F••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 26, 2009 to Dec 8, 2016factForm ADV
→ C•••••• I•••••• P•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5847fa4-dd00-12eb-c59c-5f65a11ded1d
First observed: Mar 14, 2002
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.