DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R••••• M•••••••••

Advisor at W•••• F•••• A•••••••

YORBA LINDA, CA | IRVINE, CA

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Search this name across graphsid dfx:ria:67e1e49c-366a-879f-17de-ad414a1a7866

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2017 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jul 14, 2025	n/a	yes	IRVINE, CA\|YORBA LINDA, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 3, 2020	Jul 24, 2025	no	IRVINE, CA\|Yorba Linda, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Jul 24, 2025	Jul 14, 2025	-10	Firm change	Wirehouse to wirehouse
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Sep 10, 2020	Sep 3, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:8174:CA:2020-09-10	Sep 10, 2020	Sep 3, 2020	COSTA MESA, CA	Firm change

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 23, 2017 to Sep 10, 2020factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 3, 2020 to Jul 24, 2025factForm ADV

Dated events

Occurred
Jul 24, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67e1e49c-366a-879f-17de-ad414a1a7866
First observed: Jan 23, 2017
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.