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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

D••••• C••••••••• M•••

Advisor at W•••••• S••••••••• I•••

HONOLULU, HI | Pasadena, CA

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Search this name across graphsid dfx:ria:8013a53f-2d94-9966-a645-b3a869674db1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 20, 2007 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•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 29, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Nov 30, 2023	n/a	yes	HONOLULU, HI\|Pasadena, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 21, 2019	Dec 1, 2023	no	HONOLULU, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••••• S••••••••• I•••	Dec 1, 2023	Nov 30, 2023	-1	Firm change	Wirehouse to ibd
C••• F•••••••• S•••••••• L•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 7, 2019	Oct 21, 2019

Relationships

Registered with (3)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Nov 30, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 21, 2019 to Dec 1, 2023factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Aug 20, 2007 to Oct 7, 2019factForm ADV

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
D••••• C••••••••• M••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••••• S••••••••• I••• (registered 2023-11-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8013a53f-2d94-9966-a645-b3a869674db1
First observed: Aug 20, 2007
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.