DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

G•••••• S••••• Y••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

WALNUT CREEK, CA | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:cdb38eef-51d0-f772-0bc8-16844833e0cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2006 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Nov 2, 2011	n/a	yes	SAN FRANCISCO, CA\|WALNUT CREEK, CA	Current employment
S•••• • Y•••••••• L••	Former SEC adviser	Apr 6, 2006	Nov 2, 2011	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• • Y•••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Nov 2, 2011	Nov 2, 2011	0	Channel change	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Nov 2, 2011 to presentfactForm ADV
→ S•••• • Y•••••••• L••Registered adviserregistration: previous registration
Apr 6, 2006 to Nov 2, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cdb38eef-51d0-f772-0bc8-16844833e0cf
First observed: Apr 6, 2006
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.