DFX Intelligence

W••• G•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

W••• G•••••• S••••

Advisor at C••••• M••••••

Edmonds, WA | IRVINE, CA

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Search this name across graphsid dfx:ria:4316982a-727f-913b-0af0-21976d9037b4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 6, 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••••• M••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 14, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• M••••••	Independent wealth	Nov 8, 2023	n/a	yes	Edmonds, WA\|IRVINE, CA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 6, 2020	Oct 27, 2023	no	EDMONDS, WA\|EDMONDS, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	C••••• M••••••	Oct 27, 2023	Nov 8, 2023	12	Firm change	Ibd to RIA
K•• F•••••••• S•••••••• I••	S••••••••• A•••••• A•••••••• I•••	Nov 6, 2020	Nov 6, 2020

Relationships

Registered with (3)

→ C••••• M••••••Registered adviserregistration: current employment
Nov 8, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 6, 2020 to Oct 27, 2023factForm ADV
→ K•• F•••••••• S•••••••• I••Registered adviserregistration: previous registration
Oct 6, 2003 to Nov 6, 2020factForm ADV

Dated events

Occurred
Oct 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4316982a-727f-913b-0af0-21976d9037b4
First observed: Oct 6, 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.