DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R••••••• S•••••• M••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | MARANA, AZ

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Search this name across graphsid dfx:ria:dfab8a7d-fade-e97f-3bf1-abd5d70034ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2002 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 19, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jul 24, 2020	n/a	yes	SCOTTSDALE, AZ\|MARANA, AZ	Current employment
S•• A•••••••• I•••	Former SEC adviser	Nov 29, 2013	Jul 28, 2020	no	SCOTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• A•••••••• I•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jul 28, 2020	Jul 24, 2020	-4	Firm change	Ibd to RIA
H••••••••• G•••• F•••••••• A•••••••• L••	H••••••••• G•••• E••••• • R••••••••• S•••••••••	Nov 20, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
126090:20804:AZ:2020-07-28	Jul 28, 2020	Jul 24, 2020	SCOTSDALE, AZ	Firm change

Relationships

Registered with (6)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jul 24, 2020 to presentfactForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2013 to Jul 28, 2020factForm ADV
→ H••••••••• G•••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 6, 2013 to Nov 20, 2013factForm ADV
→ H••••••••• G•••• E••••• • R••••••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dfab8a7d-fade-e97f-3bf1-abd5d70034ce
First observed: Feb 5, 2002
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.