DFX Intelligence

R••••• P•••• O••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor14 years in industry

R••••• P•••• O••••••••

Advisor at P•••••• W••••• M••••••••• L••

CARLSBAD, CA | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:d39acba4-370e-3b33-ead3-31eea9da785c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2012 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: P•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 17, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• W••••• M••••••••• L••	Independent wealth	Nov 29, 2023	n/a	yes	CARLSBAD, CA\|SAN FRANCISCO, CA	Current employment
D•• S•••••• F•••••••• • I•••••••• S•••••••	Former SEC adviser	Jan 3, 2018	Jan 5, 2024	no	CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•• S•••••• F•••••••• • I•••••••• S•••••••	P•••••• W••••• M••••••••• L••	Jan 5, 2024	Nov 29, 2023	-37	Firm change after gap	RIA to RIA
S•••••• F•••••••• • I•••••••• S•••••••	D•• S•••••• F•••••••• • I•••••••• S•••••••	May 23, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
132929:289985:CA:2018-05-23	May 23, 2018	Jan 3, 2018	CARLSBAD, CA	Firm change after gap

Relationships

Registered with (5)

→ P•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 29, 2023 to presentfactForm ADV
→ D•• S•••••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: previous registration
Jan 3, 2018 to Jan 5, 2024factForm ADV
→ S•••••• F•••••••• • I•••••••• S•••••••Registered adviserregistration: previous registration
Aug 14, 2015 to May 23, 2018factForm ADV
→ V••• A•••••••Registered adviserregistration: previous registration

Dated events

Occurred
Jan 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d39acba4-370e-3b33-ead3-31eea9da785c
First observed: Feb 20, 2012
Last observed: Sep 14, 2026 9 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.