E•••• W••••• W•

Advisor at W•••• F•••• A•••••••

SAN JOSE, CA | SARATOGA, 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:65f07164-edbc-5693-4caf-6cecfb81d6c9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 10, 2016 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Nov 22, 2022	n/a	yes	SARATOGA, CA\|SAN JOSE, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	May 20, 2019	Nov 2, 2022	no	GARDENA, CA\|HAWTHORNE, CA\|SAN JOSE, CA\|San Jose, CA\|SARATOGA, CA\|SARATOGA, CA\|SARATOGA, CA\|LOS ALTOS, CA\|SARATOGA, CA\|SARATOGA, CA\|SARATOGA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Nov 2, 2022	Nov 22, 2022	20	Firm change	Wirehouse to wirehouse
C••••• I••••••••• A••••••• L••	J••• M••••• S••••••••• L••	Apr 16, 2019	May 20, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:19616:CA:2022-10-06	Nov 2, 2022	Nov 22, 2022	SARATOGA, CA	Firm change
6413:105644:CA:2017-09-15	Sep 25, 2017	Sep 25, 2017	ROWLAND HEIGHTS, CA	Firm change
105644:6413:CA:2017-02-28	Feb 28, 2017	Mar 1, 2017	EL MONTE, CA	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Nov 22, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 20, 2019 to Nov 2, 2022factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Sep 25, 2017 to Apr 16, 2019factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Nov 2, 2022
Advisor changed firm
E•••• W••••• W• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-11-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65f07164-edbc-5693-4caf-6cecfb81d6c9
First observed: Nov 10, 2016
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.