DFX Intelligence

Data Factory

T•••••• D•••••• W••••: 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 / WealthAdvisordual registered (broker-dealer)33 years in industry

T•••••• D•••••• W••••

Advisor at W•••••• S••••••••• I•••

Pasadena, CA | NEWPORT BEACH, 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:5cd16897-acb6-1eaf-2032-22a3721da935

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: W•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 23, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Oct 20, 2017	n/a	yes	NEWPORT BEACH, CA\|Pasadena, CA	Current employment
D••• D••••••• • C••	Independent wealth	Nov 25, 2013	Oct 2, 2017	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	W•••••• S••••••••• I•••	Oct 2, 2017	Oct 20, 2017	18	Firm change	Other
C•••••• W••••• • C••	D••• D••••••• • C••	Nov 25, 2013	Nov 25, 2013

Relationships

Registered with (4)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Oct 20, 2017 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Nov 25, 2013 to Oct 2, 2017factForm ADV
→ C•••••• W••••• • C••Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ C••••••• W••••• • C••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5cd16897-acb6-1eaf-2032-22a3721da935
First observed: Jul 8, 1997
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.