DFX Intelligence

W•••••• C••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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

W•••••• C••• B••••

Advisor at A•••• W••••• M••••••••• A•• P••••••• L••

NOVATO, CA

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Search this name across graphsid dfx:ria:e8190dbd-f84e-7dd3-1996-3df8c9fb2275

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2006 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•••• W••••• M••••••••• A•• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom 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
A•••• W••••• M••••••••• A•• P••••••• L••	Independent wealth	Apr 19, 2016	n/a	yes	NOVATO, CA	Current employment
P•••••••• I•••••••• O• A••••••	Former SEC adviser	Sep 14, 2011	Dec 31, 2015	no	NOVATO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• I•••••••• O• A••••••	A•••• W••••• M••••••••• A•• P••••••• L••	Dec 31, 2015	Apr 19, 2016	110	Firm change	Other
A••••••••• F•••••••• S•••••••• L••	P•••••••• I•••••••• O• A••••••	Sep 15, 2011	Sep 14, 2011

Relationships

Registered with (3)

→ A•••• W••••• M••••••••• A•• P••••••• L••Registered adviserregistration: current employment
Apr 19, 2016 to presentfactForm ADV
→ P•••••••• I•••••••• O• A••••••Registered adviserregistration: previous registration
Sep 14, 2011 to Dec 31, 2015factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 20, 2006 to Sep 15, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8190dbd-f84e-7dd3-1996-3df8c9fb2275
First observed: Mar 20, 2006
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.