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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

A•••••• A•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Hayward, CA | SAN MATEO, CA

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Search this name across graphsid dfx:ria:01f9871a-1a9d-95e8-6127-9a1b3ba99382

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 25, 2018 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 21, 2024	n/a	yes	SAN MATEO, CA\|Hayward, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Nov 16, 2021	May 6, 2024	no	Fremont, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	A••••••••• F•••••••• S•••••••• L••	May 6, 2024	Aug 21, 2024	107	Firm change	Ibd to ibd
C••• L••	C•••••• S••••• • C••• I•••	Aug 10, 2021	Nov 16, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:155344:CA:2019-08-26	Aug 26, 2019	Oct 3, 2019	HALF MOON BAY, CA	Firm change

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 21, 2024 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Nov 16, 2021 to May 6, 2024factForm ADV
→ C••• L••Registered adviserregistration: previous registration
Oct 3, 2019 to Aug 10, 2021factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
May 6, 2024
Advisor changed firm
A•••••• A••••• left C•••••• S••••• • C••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-08-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01f9871a-1a9d-95e8-6127-9a1b3ba99382
First observed: May 25, 2018
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.