DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

R•••••• A••••• C•••••••••

Advisor at W•••• F•••• A•••••••

WESTLAKE VILLAGE, 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:0521be7c-f643-ba97-24b8-5f74199044dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2008 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 23, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Aug 28, 2018	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 27, 2012	Jan 2, 2015	no	ST. LOUIS, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Aug 28, 2018	Aug 27, 2012	-2,192	Channel change	Wirehouse to wirehouse
M•••••• I••••••••• A•••••••• L••	W•••• F•••• A•••••••	Oct 5, 2011	Oct 14, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:MO:2018-08-28	Aug 28, 2018	Aug 27, 2012	ST LOUIS, MO	Firm change after gap

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 27, 2012 to Jan 2, 2015factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 14, 2011 to Aug 28, 2018factForm ADV
→ M•••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 26, 2010 to Oct 5, 2011factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0521be7c-f643-ba97-24b8-5f74199044dc
First observed: Oct 23, 2008
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.