O••• C••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

••• Locked

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:3fa8908a-46e9-9ba1-fc1b-237c6a91df97

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Aug 15, 2002 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Feb 3, 2026	n/a	yes	SAN RAMON, CA\|PLYMOUTH, MN\|CUPERTINO, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 27, 2023	Feb 4, 2026	no	WALNUT CREEK, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Feb 4, 2026	Feb 3, 2026	-1	Firm change	Wirehouse to ibd
U••• B•••••• A•••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 21, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
14455:7691:CA:2023-02-08	Feb 21, 2023	Jan 27, 2023	WALNUT CREEK, CA	Firm change

Relationships

Registered with (10)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 27, 2023 to Feb 4, 2026factForm ADV
→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 26, 2020 to Feb 21, 2023factForm ADV
→ Q•••••••• P•••••••

Dated events

Occurred
Feb 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fa8908a-46e9-9ba1-fc1b-237c6a91df97
First observed: Aug 15, 2002
Last observed: Sep 15, 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.