DFX Intelligence

S••• F••• 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 Planner15 years in industry

S••• F••• L•••••

Advisor at 2• W••• W••••• M••••••••• L••

TUSTIN, 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:595cbadb-0893-0b84-9fa4-b9fe6df7c55c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 24, 2010 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: 2• W••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 22, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
2• W••• W••••• M••••••••• L••	Independent wealth	Jul 18, 2020	n/a	yes	TUSTIN, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	May 29, 2014	May 3, 2016	no	TUSTIN, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	2• W••• W••••• M••••••••• L••	May 3, 2016	Jul 18, 2020	1,537	Firm change after gap	Wirehouse to RIA
E•••••••• A•••••••• L••	J••• M••••• S••••••••• L••	May 21, 2014	May 29, 2014

Relationships

Registered with (5)

→ 2• W••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jul 18, 2020 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 29, 2014 to May 3, 2016factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 15, 2013 to May 21, 2014factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:595cbadb-0893-0b84-9fa4-b9fe6df7c55c
First observed: Nov 24, 2010
Last observed: Sep 14, 2026 9 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.