DFX Intelligence

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

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RIA / WealthAdvisor14 years in industry

A•••••• D••• R•••••••

Advisor at A• W••••• M••••••••• L••

Scottsdale, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 25, 2015 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: A• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A• W••••• M••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	Scottsdale, AZ	Current employment
E•••••••• M••• A•••• M••••••••• L••	Independent wealth	Aug 8, 2023	Dec 17, 2024	no	Scottsdale, AZ\|DANVILLE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••• W••••• A••••••• L••	E•••••••• M••• A•••• M••••••••• L••	Jan 31, 2025	Aug 8, 2023	-542	Firm change after gap	Other
E•••••••• M••• A•••• M••••••••• L••	A• W••••• M••••••••• L••	Dec 17, 2024	Nov 14, 2024

Relationships

Registered with (4)

→ A• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ R••••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Mar 1, 2017 to Jan 31, 2025factForm ADV
→ E•••••••• M••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Aug 8, 2023 to Dec 17, 2024factForm ADV
→ A•• W••••• A•••••••• L••

Dated events

Occurred
Jan 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 17, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 25, 2015
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.