DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

R••• P•••••• H••••••

Advisor at W•••• F•••• A•••••••

SANTA ANA, CA

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Search this name across graphsid dfx:ria:37497994-56d4-35be-bd6c-72240315c536

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 25, 1999 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 15, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	May 21, 2015	n/a	yes	SANTA ANA, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	May 4, 2007	May 21, 2015	no	ANAHEIM, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	May 21, 2015	May 21, 2015	0	Channel change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	W•••• F•••• A•••••••	May 4, 2007	May 4, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:CA:2015-05-21	May 21, 2015	May 21, 2015	ANAHEIM, CA	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
May 21, 2015 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 4, 2007 to May 21, 2015factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to May 4, 2007factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37497994-56d4-35be-bd6c-72240315c536
First observed: Jan 25, 1999
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.