DFX Intelligence

W•••••• M••••• N•••••: 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 / WealthAdvisordual registered (broker-dealer)38 years in industry

W•••••• M••••• N•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

San Diego, 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:3228c7db-f20b-9e0e-cddd-4d403672b233

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 4, 2007 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 13, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 17, 2012	n/a	yes	San Diego, CA\|San Diego, CA	Current employment
C••••••• W••••• • C••	Former SEC adviser	Oct 16, 2009	Sep 17, 2012	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• W••••• • C••	A••••••••• F•••••••• S•••••••• L••	Sep 17, 2012	Sep 17, 2012	0	Firm change	Other
W•••••• S••••••••• I•••	C••••••• W••••• • C••	Nov 13, 2009	Oct 16, 2009

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 17, 2012 to presentfactForm ADV
→ C••••••• W••••• • C••Registered adviserregistration: previous registration
Oct 16, 2009 to Sep 17, 2012factForm ADV
→ W•••••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 4, 2007 to Nov 13, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3228c7db-f20b-9e0e-cddd-4d403672b233
First observed: Sep 4, 2007
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.