A•••• Y•••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEWPORT BEACH, 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:7d516cad-0a70-2242-00c9-7d51d413137f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2014 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Apr 4, 2019	n/a	yes	NEWPORT BEACH, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Dec 22, 2014	Apr 8, 2019	no	IRVINE, CA\|NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Apr 8, 2019	Apr 4, 2019	-4	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:793:CA:2019-04-05	Apr 8, 2019	Apr 4, 2019	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Apr 4, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 22, 2014 to Apr 8, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d516cad-0a70-2242-00c9-7d51d413137f
First observed: Dec 22, 2014
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.