DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner17 years in industry

S•••• A••• M•••••

Advisor at R•••• B•••• M••••

SAN LUIS OBISPO, CA

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Search this name across graphsid dfx:ria:e8cfd50a-44e2-7a67-9acb-7a08e83f682b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 23, 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: R•••• B•••• M••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 23, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••• B•••• M••••	State registered	Aug 31, 2017	n/a	yes	SAN LUIS OBISPO, CA	Current employment
N•• E•••••• S••••••••• C•••••••••	Former SEC adviser	Jan 25, 2010	Jul 13, 2010	no	GREENWOOD VILLAGE, CO\|SAN LUIS OBISPO, CA\|SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E•••••• S••••••••• C•••••••••	R•••• B•••• M••••	Jul 13, 2010	Aug 31, 2017	2,606	Firm change after gap	Other
W••••• M••••••••• S••••••••	N•• E•••••• S••••••••• C•••••••••	Apr 24, 2009	Jan 25, 2010

Relationships

Registered with (3)

→ R•••• B•••• M••••Registered adviserregistration: current employment
Aug 31, 2017 to presentfactForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 25, 2010 to Jul 13, 2010factForm ADV
→ W••••• M••••••••• S••••••••Registered adviserregistration: previous registration
Sep 23, 2008 to Apr 24, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8cfd50a-44e2-7a67-9acb-7a08e83f682b
First observed: Sep 23, 2008
Last observed: Sep 14, 2026 8 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.