DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner37 years in industry

W•••••• G•••••• M•••••

Advisor at S••••• M••••• W••••• M••••••••• L••

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:7a2281e3-dd46-52cf-67ab-3e47006e8319

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:08 PM 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: S••••• M••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 5, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M••••• W••••• M••••••••• L••	Independent wealth	Oct 1, 2018	n/a	yes	SAN DIEGO, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Jun 4, 2018	no	San Diego, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S••••• M••••• W••••• M••••••••• L••	Jun 4, 2018	Oct 1, 2018	119	Firm change	Wirehouse to RIA
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:295339:CA:2018-06-04	Jun 4, 2018	Oct 1, 2018	SAN DIEGO, CA	Firm change

Relationships

Registered with (4)

→ S••••• M••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Oct 1, 2018 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jun 4, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Aug 29, 2008 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a2281e3-dd46-52cf-67ab-3e47006e8319
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.