DFX Intelligence

W•••••• O••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

W•••••• O••••• T•••••

Advisor at M••••• S••••••

••• Locked

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Search this name across graphsid dfx:ria:c96b836a-862c-8311-2649-12a0f2707f00

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 2, 1998 to Sep 15, 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 16, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Aug 16, 2016	n/a	yes	El Cerrito, CA\|San Francisco, CA\|Menlo Park, CA\|Walnut Creek, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 11, 2008	Aug 15, 2016	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	M••••• S••••••	Aug 15, 2016	Aug 16, 2016	1	Firm change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	U•• F•••••••• S••••••• I•••	Jun 30, 2008	Jul 11, 2008

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Aug 16, 2016 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 11, 2008 to Aug 15, 2016factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 30, 2008factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c96b836a-862c-8311-2649-12a0f2707f00
First observed: Nov 2, 1998
Last observed: Sep 15, 2026 7 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.