DFX Intelligence

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

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RIA / WealthAdvisor32 years in industry

S••••• P•••••• M••••

Advisor at I••••••••• A•••••• A•••••••• L••

Larkspur, CA

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Search this name across graphsid dfx:ria:fa023251-d6d5-a699-21af-c0935108dc3b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2005 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: I••••••••• A•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 2, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• A•••••• A•••••••• L••	I•••••••••_WEALTH	Mar 8, 2026	n/a	yes	Larkspur, CA	Current employment
N••• C•••••• P•••••••• I•••	I•••••••••_WEALTH	Sep 28, 2021	Mar 2, 2026	no	BELVEDERE, CA\|WILMINGTON, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• C•••••• P•••••••• I•••	I••••••••• A•••••• A•••••••• L••	Mar 2, 2026	Mar 8, 2026	6	Firm change	Other
L•• F•••••••• L••	N••• C•••••• P•••••••• I•••	Apr 27, 2021	Mar 26, 2021

Relationships

Registered with (6)

→ I••••••••• A•••••• A•••••••• L••Registered adviserregistration: current employment
Mar 8, 2026 to presentfactForm ADV
→ N••• C•••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 28, 2021 to Mar 2, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 19, 2019 to Apr 27, 2021factForm ADV
→ M••••• S••••••

Dated events

Occurred
Mar 2, 2026
A•••••• firm change
S••••• P•••••• M•••• left N••• C•••••• P•••••••• I••• for I••••••••• A•••••• A•••••••• L•• (registered 2026-03-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa023251-d6d5-a699-21af-c0935108dc3b
First observed: Nov 21, 2005
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.