DFX Intelligence

W••••• S••••• L•••••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

W••••• S••••• L•••••••

Advisor at C•••••• S•••••• P•••••••

IRVINE, CA | TORRENCE, 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:3e674220-817d-c9b8-7f9f-f42fc91d1fb7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 25, 2003 to Sep 15, 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: C•••••• S•••••• P•••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Dec 3, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S•••••• P•••••••	Former SEC adviser	Aug 21, 2024	n/a	yes	TORRENCE, CA\|IRVINE, CA	Current employment
P•••• S••••••••• L••	No RAUM reported	Nov 25, 2003	Jul 11, 2005	no	TORRANCE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	C•••••• S•••••• P•••••••	Jul 11, 2005	Aug 21, 2024	6,981	Firm change after gap	Other

Relationships

Registered with (2)

→ C•••••• S•••••• P•••••••Registered adviserregistration: current employment
Aug 21, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Nov 25, 2003 to Jul 11, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e674220-817d-c9b8-7f9f-f42fc91d1fb7
First observed: Nov 25, 2003
Last observed: Sep 15, 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.