DFX Intelligence

A••••• F•••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

A••••• F•••• R••••••

Advisor at A•••• P•••••• W••••• A•••••••

Santa Rosa, CA

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Search this name across graphsid dfx:ria:e384493c-5ff9-988c-1c54-bf8caf94e416

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2008 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: A•••• P•••••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• P•••••• W••••• A•••••••	Independent wealth	Jul 14, 2025	n/a	yes	Santa Rosa, CA	Current employment
A•••• P•••••• W••••• A•••••••	Independent wealth	Jan 3, 2022	Dec 12, 2024	no	Santa Rosa, CA\|RED BANK, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J• L• S•••••••• • A•••••••••	A•••• P•••••• W••••• A•••••••	Dec 16, 2021	Jan 3, 2022	18	Firm change	Other
W•••• F•••• A•••••••	J• L• S•••••••• • A•••••••••	Mar 11, 2020	Apr 29, 2020

Relationships

Registered with (6)

→ A•••• P•••••• W••••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2022 to Dec 12, 2024factForm ADV
→ J• L• S•••••••• • A•••••••••Registered adviserregistration: previous registration
Apr 29, 2020 to Dec 16, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 9, 2016 to Mar 11, 2020factForm ADV
→ P•••••••• I•••••••• O• A••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e384493c-5ff9-988c-1c54-bf8caf94e416
First observed: Jun 25, 2008
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.