DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C••••••••• J••• F•••••

Advisor at W•••• F•••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:3b71af0d-b229-85f4-3819-08a54e370670

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 8, 2001 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: Aug 7, 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: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Dec 10, 2014	n/a	yes	LA JOLLA, CA\|PONTE VEDRA BEACH, FL\|JACKSONVILLE, FL\|PONTE VEDRA BEACH, FL	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Oct 16, 2008	Dec 18, 2014	no	LA JOLLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Dec 18, 2014	Dec 10, 2014	-8	Firm change	Wirehouse to wirehouse
C•••••••• G••••• M•••••• I•••	U•• F•••••••• S••••••• I•••	Oct 28, 2008	Oct 16, 2008

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Dec 10, 2014 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2008 to Dec 18, 2014factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 8, 2001 to Oct 28, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b71af0d-b229-85f4-3819-08a54e370670
First observed: May 8, 2001
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.