DFX Intelligence

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

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RIA / WealthAdvisor26 years in industry

R•••• E•• A•••••••

Advisor at F••••• W••••• W••••• M••••••••• L••

CANTON, CT | Santa Rosa, CA

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Search this name across graphsid dfx:ria:f911f128-bb54-cc88-100a-5391001bdf76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 21, 2000 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: F••••• W••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 8, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••• W••••• W••••• M••••••••• L••	Independent wealth	Sep 1, 2020	n/a	yes	CANTON, CT\|Santa Rosa, CA	Current employment
P••••••••• F•••••••• S•••••••	n/a	Sep 16, 2013	Dec 31, 2022	no	SANTA ROSA, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• F•••••••• S•••••••	F••••• W••••• W••••• M••••••••• L••	Dec 31, 2022	Sep 1, 2020	-851	Firm change after gap	Other
W•••• F•••• A•••••••	P••••••••• F•••••••• S•••••••	Sep 20, 2013	Sep 16, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
13980:168299:CA:2022-12-31	Dec 31, 2022	Sep 1, 2020	SAN FRANCISCO, CA	Firm change after gap

Relationships

Registered with (4)

→ F••••• W••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 1, 2020 to presentfactForm ADV
→ P••••••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Sep 16, 2013 to Dec 31, 2022factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 26, 2004 to Sep 20, 2013factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f911f128-bb54-cc88-100a-5391001bdf76
First observed: Apr 21, 2000
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.