DFX Intelligence

S•••••• F••••• O•••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•••••• F••••• O•••••• I•••

CRD 173846

ESCONDIDO, CA

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Search this name across graphsid dfx:ria:2f5f5ff5-f5a4-2101-faf5-bb40bde068df

Data as of May 12, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2014 to May 12, 2015
6 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Employees: 1
Advisory employees: 1
SEC number: 801-80624
CRD: 173846
Filings on the tape: 6
First filed

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••••• L•• W•••••	Certified Financial Planner	ESCONDIDO, CA	1	21	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••••• T••••••• L••	CHIEF COMPLIANCE OFFICER AND PRESIDENT	E	yes	12/2014	Nov 14, 2014	May 12, 2015

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Relationships

Registered with (1)

← T•••••• L•• W•••••Advisorregistration: current employment
Sep 8, 2025 to presentfactForm ADV

Controls (1)

← W•••••• T••••••• L••OwnerCHIEF COMPLIANCE OFFICER AND PRESIDENT, ownership code E, individual
Nov 14, 2014 to presentfactForm ADV

Dated events

Occurred
Nov 14, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f5f5ff5-f5a4-2101-faf5-bb40bde068df
First observed: Nov 14, 2014
Last observed: May 12, 2015 138 months ago
Source families: Federal regulator filings
3 registered feeds 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.