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

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

S•••••• M••• S••••••

Advisor at C•••••• • Q•••• W••••• A•••••••

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:5e76e97e-c7d6-3585-c12a-e592f832172f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 16, 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: C•••••• • Q•••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• • Q•••• W••••• A•••••••	Independent wealth	Jun 9, 2021	n/a	yes	SAN DIEGO, CA	Current employment
V••• F•••••••• A•••••••• I•••	Bd affiliated wealth	May 6, 2010	Jun 2, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
V••• F•••••••• A•••••••• I•••	C•••••• • Q•••• W••••• A•••••••	Jun 2, 2021	Jun 9, 2021	7	Firm change	Ibd to new firm
S••••••• F•••••••• S•••••••• I•••	V••• F•••••••• A•••••••• I•••	May 12, 2010

Relationships

Registered with (6)

→ C•••••• • Q•••• W••••• A•••••••Registered adviserregistration: current employment
Jun 9, 2021 to presentfactForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
May 6, 2010 to Jun 2, 2021factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 12, 2008 to May 12, 2010factForm ADV
→ C•••••• C•••••• M••••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e76e97e-c7d6-3585-c12a-e592f832172f
First observed: Dec 16, 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.