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

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RIA / WealthAdvisorChartered Financial Consultant28 years in industry

R•••••• M•••••• T••

Advisor at C••••••••• F•••••••• A•••••••

SAN RAMON, CA

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Search this name across graphsid dfx:ria:df8f94f9-b99d-a2aa-5e79-3220ab6007d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2011 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: C••••••••• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 28derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• A•••••••	Independent wealth	Mar 9, 1998	n/a	yes	SAN RAMON, CA	Current employment
F•••••••• T••••••• I•••	Former SEC adviser	Feb 4, 2011	Aug 14, 2014	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• T••••••• I•••	n/a	Aug 14, 2014	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ C••••••••• F•••••••• A•••••••Registered adviserregistration: current employment
Mar 9, 1998 to presentfactForm ADV
→ F•••••••• T••••••• I•••Registered adviserregistration: previous registration
Feb 4, 2011 to Aug 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df8f94f9-b99d-a2aa-5e79-3220ab6007d1
First observed: Feb 4, 2011
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.