DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

T•••• M•••••• B••••

Advisor at C••••••••• F•••••••• N••••••

GRASS VALLEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fb475118-5335-6f07-af5f-6b11a383e89d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 4, 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 22, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jan 12, 2009	n/a	yes	GRASS VALLEY, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 29, 2005	Jan 23, 2009	no	GRASS VALLEY, CA\|GRASS VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	C••••••••• F•••••••• N••••••	Jan 23, 2009	Jan 12, 2009	-11	Firm change	Wirehouse to ibd
A••••••••• F•••••••• S•••••••• L••	U•• F•••••••• S••••••• I•••	Aug 2, 2005	Jul 29, 2005

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 12, 2009 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 29, 2005 to Jan 23, 2009factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 4, 1999 to Aug 2, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb475118-5335-6f07-af5f-6b11a383e89d
First observed: Nov 4, 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.