DFX Intelligence

T••••• F•••••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

T••••• F•••••• K••••••

Advisor at W•••• F•••• A•••••••

DANVILLE, CA | WALNUT CREEK, CA

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2002 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 2, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Apr 9, 2015	n/a	yes	WALNUT CREEK, CA\|DANVILLE, CA	Current employment
B••••••• I••••••••• S•••••••• I••• •••••	Former SEC adviser	Jun 3, 2014	Apr 14, 2015	no	LIVERMORE, CA\|MONTEREY, CA\|SANTA CRUZ, CA\|CAPITOLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• S•••••••• I••• •••••	W•••• F•••• A•••••••	Apr 14, 2015	Apr 9, 2015	-5	Firm change	Other
P•• M•••••• A•••••• S••••••••• I•••	B••••••• I••••••••• S•••••••• I••• •••••	May 13, 2014	Jun 3, 2014

Relationships

Registered with (6)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Apr 1, 2013factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Jun 3, 2014 to Apr 14, 2015factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 21, 2013 to May 13, 2014factForm ADV
→ S•••••• P••••••• I••••••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 21, 2002
Last observed: Sep 15, 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.