DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

M•••• E•••• A•••••

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

SCOTTSDALE, AZ | NAPA, CA

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Search this name across graphsid dfx:ria:e1589493-ac05-8b4a-8623-60bdc8533cd0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2007 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: Aug 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Apr 15, 2016	n/a	yes	SCOTTSDALE, AZ\|NAPA, CA	Current employment
P•••• F••••••	n/a	Aug 16, 2023	Jul 11, 2025	no	WALNUT CREEK, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• F••••••	n/a	Jul 11, 2025	n/a	n/a	Departure no registered destination	Departure
T••••••••• F•••••••• A•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	May 2, 2016	Apr 15, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
16164:20804:CA:2016-05-02	May 2, 2016	Apr 15, 2016	BENICIA, CA	Firm change

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Apr 15, 2016 to presentfactForm ADV
→ P•••• F••••••Registered adviserregistration: previous registration
Aug 16, 2023 to Jul 11, 2025factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 21, 2007 to May 2, 2016factForm ADV

Dated events

Occurred
Jul 11, 2025
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1589493-ac05-8b4a-8623-60bdc8533cd0
First observed: Nov 21, 2007
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.