DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

M••• T••••• A••••

Advisor at O•••• W•••••• I•••

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:f49ab283-f7ff-09ec-dc23-003edde02134

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 19, 1999 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 29derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jul 8, 1997	n/a	yes	WALNUT CREEK, CA	Current employment
N•• A••••••• S••••••• I••	Independent wealth	Mar 16, 2009	Oct 3, 2013	no	WALNUT CREEK, CA\|LOS ANGELES, CA\|WALNUT CREEK, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• A••••••• S••••••• I••	n/a	Oct 3, 2013	n/a	n/a	Departure no registered destination	Departure
S••••••• F•••••••• S•••••••• I•••	N•• A••••••• S••••••• I••	Mar 17, 2009	Mar 16, 2009	-1

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jul 8, 1997 to presentfactForm ADV
→ N•• A••••••• S••••••• I••Registered adviserregistration: previous registration
Mar 16, 2009 to Oct 3, 2013factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 19, 1999 to Mar 17, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f49ab283-f7ff-09ec-dc23-003edde02134
First observed: Oct 19, 1999
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.