DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

R••• A•••••••

Advisor at W••••• O•• A•••••••

SAN MARCOS, CA | FALLBROOK, CA

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Search this name across graphsid dfx:ria:02704915-734a-2e47-5c36-0cf74c485f56

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 9, 1990 to Sep 15, 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: W••••• O•• A•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 9, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 28derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• O•• A•••••••	State registered	Apr 10, 2018	n/a	yes	FALLBROOK, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Dec 31, 1997	n/a	yes	FALLBROOK, CA\|SAN MARCOS, CA	Current employment

Relationships

Registered with (2)

→ W••••• O•• A•••••••Registered adviserregistration: current employment
Apr 10, 2018 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 31, 1997 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02704915-734a-2e47-5c36-0cf74c485f56
First observed: Nov 9, 1990
Last observed: Sep 15, 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.