DFX Intelligence

P••• G•••••• A•••••: 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)38 years in industry

P••• G•••••• A•••••

Advisor at W•••••• S••••••••• I•••

Pasadena, CA | LOS OSOS, 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:0f316be9-aca0-29c0-fd04-7e3966227d28

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 1, 1999 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•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 16, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Mar 2, 2011	n/a	yes	Pasadena, CA\|LOS OSOS, CA	Current employment
M•••••• N••• I••••••••• A•••••••	Former SEC adviser	Feb 1, 1999	Feb 28, 2011	no	PASADENA, CA\|PASADENA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• N••• I••••••••• A•••••••	W•••••• S••••••••• I•••	Feb 28, 2011	Mar 2, 2011	2	Firm change	Other

Relationships

Registered with (2)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 2, 2011 to presentfactForm ADV
→ M•••••• N••• I••••••••• A•••••••Registered adviserregistration: previous registration
Feb 1, 1999 to Feb 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f316be9-aca0-29c0-fd04-7e3966227d28
First observed: Feb 1, 1999
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.