DFX Intelligence

C••••••• S••••• E•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

C••••••• S••••• E•••

Advisor at D••••••••• W••••• M•••••••••

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:e2f25282-2228-072b-1b86-ad1793d01740

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2000 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: D••••••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 2, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••••••••• W••••• M•••••••••	Independent wealth	May 23, 2014	n/a	yes	WALNUT CREEK, CA	Current employment
N••••••• T•••• S••••••••• I••	Bd affiliated wealth	Feb 9, 2006	Dec 31, 2007	no	SEATTLE, WA\|SEATTLE, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• T•••• S••••••••• I••	D••••••••• W••••• M•••••••••	Dec 31, 2007	May 23, 2014	2,335	Firm change after gap	Other
D••••••••• W••••• M•••••••••	N••••••• T•••• S••••••••• I••	Oct 17, 2005	Feb 9, 2006

Relationships

Registered with (2)

→ D••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Sep 28, 2000 to Oct 17, 2005factForm ADV
→ N••••••• T•••• S••••••••• I••Registered adviserregistration: previous registration
Feb 9, 2006 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2f25282-2228-072b-1b86-ad1793d01740
First observed: Sep 28, 2000
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.