DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

A••••• R••••• H••••••••

Advisor at W•••••• S••••••••• I•••

Pasadena, CA | NEW YORK, NY

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 5, 2007 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: Sep 9, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Dec 11, 2020	n/a	yes	NEW YORK, NY\|Pasadena, CA	Current employment
O••••• A••••••• L••	No RAUM reported	Dec 4, 2023	Sep 24, 2025	no	PASADENA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••• A••••••• L••	n/a	Sep 24, 2025	n/a	n/a	Departure no registered destination	Departure
R•••••• J•••• • A••••••••• I•••	W•••••• S••••••••• I•••	Dec 18, 2020	Dec 11, 2020	-7

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:705:CA:2017-12-26	Dec 26, 2017	Dec 20, 2017	LOS ANGELES, CA	Firm change

Relationships

Registered with (5)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Dec 11, 2020 to presentfactForm ADV
→ O••••• A••••••• L••Registered adviserregistration: previous registration
Dec 4, 2023 to Sep 24, 2025factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Dec 20, 2017 to Dec 18, 2020factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Order

Occurred
24 Sep 2025
Advisor departed, no destination yet
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 5, 2007
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.