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

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RIA / WealthAdvisor19 years in industry

Y•• W•

Advisor at 1• C••••••• L••

HILLSBOROUGH, CA

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Search this name across graphsid dfx:ria:35426d7f-0183-6a61-6c22-25c4e3ca3062

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 21, 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: 1• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 20, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
1• C••••••• L••	Independent wealth	Aug 3, 2020	n/a	yes	HILLSBOROUGH, CA	Current employment
I••••••••• P•••••••• L••	Independent wealth	Jun 7, 2017	Aug 28, 2020	no	SAN FRANCISCO, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P•••••••• L••	1• C••••••• L••	Aug 28, 2020	Aug 3, 2020	-25	Firm change	RIA to new firm
R•••••••• S••••••• A•••••••	I••••••••• P•••••••• L••	May 25, 2017

Relationships

Registered with (5)

→ 1• C••••••• L••Registered adviserregistration: current employment
Aug 3, 2020 to presentfactForm ADV
→ I••••••••• P•••••••• L••Registered adviserregistration: previous registration
Jun 7, 2017 to Aug 28, 2020factForm ADV
→ R•••••••• S••••••• A•••••••Registered adviserregistration: previous registration
Jan 5, 2016 to May 25, 2017factForm ADV
→ C••••• S••••• S••••••••• •••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35426d7f-0183-6a61-6c22-25c4e3ca3062
First observed: Sep 21, 2007
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.