DFX Intelligence

D•••• M•••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst31 years in industry

D•••• M•••••• D•••••

Advisor at A•••• B••• C••••••

GREENBRAE, CA

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Search this name across graphsid dfx:ria:d4e07606-f3a4-2934-f60c-9307190fcacb

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

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 11, 2001 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: A•••• B••• C••••••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: May 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• B••• C••••••	Asset manager	Dec 3, 2024	n/a	yes	GREENBRAE, CA	Current employment
B••••• P•••••••	Asset manager	Jan 1, 2007	Oct 24, 2023	no	GREENBAE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• P•••••••	A•••• B••• C••••••	Oct 24, 2023	Dec 3, 2024	406	Firm change after gap	Other
B••••• P••••••• A•••• M••••••••• L••	B••••• P•••••••	Dec 31, 2006	Jan 1, 2007

Relationships

Registered with (3)

→ A•••• B••• C••••••Registered adviserregistration: current employment
Dec 3, 2024 to presentfactForm ADV
→ B••••• P•••••••Registered adviserregistration: previous registration
Jan 1, 2007 to Oct 24, 2023factForm ADV
→ B••••• P••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jul 11, 2001 to Dec 31, 2006factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4e07606-f3a4-2934-f60c-9307190fcacb
First observed: Jul 11, 2001
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.