DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

W•••••• S•••••• M•••••

Advisor at F•••••• A•••••••

SONOMA, CA | Petaluma, CA

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Search this name across graphsid dfx:ria:f068417c-c948-f26d-ee1c-03272c588ced

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 24, 2006 to Sep 15, 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: F•••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 11, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••• A•••••••	Independent wealth	Jan 12, 2023	n/a	yes	SONOMA, CA\|Petaluma, CA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jul 25, 2017	Dec 31, 2020	no	NEWPORT BEACH, CA\|SONOMA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• A••••••• S••••••• L••	C••••• A•••••• N••••••• L••	Sep 14, 2023	Jul 25, 2017	-2,242	Firm change after gap	Other
C••••• A•••••• N••••••• L••	F•••••• A•••••••	Dec 31, 2020	Jan 12, 2023

Relationships

Registered with (6)

→ F•••••• A•••••••Registered adviserregistration: current employment
Jan 12, 2023 to presentfactForm ADV
→ H•• A••••••• S••••••• L••Registered adviserregistration: previous registration
Mar 24, 2015 to Sep 14, 2023factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jul 25, 2017 to Dec 31, 2020factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

Occurred
Sep 14, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f068417c-c948-f26d-ee1c-03272c588ced
First observed: Oct 24, 2006
Last observed: Sep 15, 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.