DFX Intelligence

T••• A••••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

T••• A••••• B•••••

Advisor at W•••••• S••••••••• I•••

Pasadena, CA | SAN JUAN CAPISTRANO, CA

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Search this name across graphsid dfx:ria:80dc31a3-3b17-46b9-a610-1c46aeb17171

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2005 to Sep 15, 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: Feb 28, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Jul 6, 2007	n/a	yes	Pasadena, CA\|SAN JUAN CAPISTRANO, CA	Current employment
B••••••••• S••••••••• C•••••••••	n/a	Mar 3, 2005	Jun 29, 2007	no	SAN JUAN CAPISTRANO, CA\|IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S••••••••• C•••••••••	W•••••• S••••••••• I•••	Jun 29, 2007	Jul 6, 2007	7	Firm change	Other

Relationships

Registered with (2)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 6, 2007 to presentfactForm ADV
→ B••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Mar 3, 2005 to Jun 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80dc31a3-3b17-46b9-a610-1c46aeb17171
First observed: Mar 3, 2005
Last observed: Sep 15, 2026 7 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.