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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

A••••• C•••••••••

Advisor at W•••• F•••• A•••••••

CARMEL, 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:3a3942a8-c6f7-5e4e-bb88-f3bca9997627

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jul 1, 2022 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

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
W•••• F•••• A•••••••	Wirehouse	Mar 10, 2025	n/a	yes	CARMEL, CA	Current employment
M••••• S••••••	Wirehouse	Aug 14, 2024	Mar 18, 2025	no	Menlo Park, CA\|Menlo Park, 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
M••••• S••••••	W•••• F•••• A•••••••	Mar 18, 2025	Mar 10, 2025	-8	Firm change	Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Jul 22, 2024

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:19616:CA:2025-02-21	Mar 18, 2025	Mar 10, 2025	MENLO PARK, CA	Firm change
7691:149777:CA:2024-07-17	Jul 22, 2024	Aug 14, 2024	MONTEREY, CA	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Mar 10, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 14, 2024 to Mar 18, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 3, 2023 to Jul 22, 2024factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Mar 18, 2025
Advisor changed firm
A••••• C••••••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2025-03-10)
Form ADVobserved 6 days ago
Occurred
Jul 22, 2024
Advisor changed firm
A••••• C••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2024-08-14)
Form ADVobserved 6 days ago
Occurred
Feb 27, 2023
Advisor changed firm
A••••• C••••••••• left U•• F•••••••• S••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-03-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a3942a8-c6f7-5e4e-bb88-f3bca9997627
First observed: Jul 1, 2022
Last observed: Sep 14, 2026 7 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.