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S•••••• R••••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S•••••• R••••• H••••••

Advisor at R••••• W• B•••• • C•• I•••••••••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:4a974e42-f887-735d-723d-0ad83000a331

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 10, 1999 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jun 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Jul 15, 2021	n/a	yes	SCOTTSDALE, AZ	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 28, 2009	Jul 19, 2021	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R••••• W• B•••• • C•• I•••••••••	Jul 19, 2021	Jul 15, 2021	-4	Firm change	Wirehouse to RIA
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Mar 4, 2009	Aug 28, 2009

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Jul 15, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 28, 2009 to Jul 19, 2021factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 10, 1999 to Mar 4, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a974e42-f887-735d-723d-0ad83000a331
First observed: Sep 10, 1999
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.