DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

C•••• W••••

Advisor at S••••• W••••• A•••••••• I•••

Irvine, CA

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Search this name across graphsid dfx:ria:1d6ba0bb-abcb-f007-ba8c-461de5be65c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 30, 2021 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Oct 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Jun 5, 2025	n/a	yes	Irvine, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Nov 9, 2022	May 18, 2025	no	Irvine, CA\|Mission Viejo, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	S••••• W••••• A•••••••• I•••	May 18, 2025	Jun 5, 2025	18	Firm change	Other
V••••••• A•••••••• I•••	J••• M••••• S••••••••• L••	Oct 11, 2022	Nov 9, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:159035:CA:2025-05-06	May 18, 2025	Jun 5, 2025	MISSION VIEJO, CA	Firm change

Relationships

Registered with (3)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 9, 2022 to May 18, 2025factForm ADV
→ V••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 30, 2021 to Oct 11, 2022factForm ADV

Dated events

Occurred
May 18, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 11, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d6ba0bb-abcb-f007-ba8c-461de5be65c9
First observed: Apr 30, 2021
Last observed: Sep 14, 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.