DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R••••• P•••• L••••

Advisor at W•••• F•••• A•••••••

TUCSON, AZ | ORO VALLEY, AZ

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 4, 2004 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: Sep 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Oct 20, 2022	n/a	yes	TUCSON, AZ\|ORO VALLEY, AZ	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	Oct 22, 2022	no	TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ\|ORO VALLEY, AZ\|ORO VALLEY, AZ\|TUCSON, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Oct 22, 2022	Oct 20, 2022	-2	Firm change	Wirehouse to wirehouse
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012	Oct 1, 2012

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Oct 20, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Oct 22, 2022factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Jun 25, 2007 to Oct 1, 2012factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
22 Oct 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 4, 2004
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.