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R••••• L••••• Y•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

R••••• L••••• Y•••••

Advisor at W•••• F•••• A•••••••

RENO, NV

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Search this name across graphsid dfx:ria:83ab2d69-5d1d-d93e-3b9f-4b93f1668a5f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 12, 2020 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Oct 20, 2023	n/a	yes	RENO, NV	Current employment
E••••• J••••	National bd RIA	Jun 12, 2020	Oct 23, 2023	no	ST LOUIS, MO\|Reno, NV\|RENO, NV\|RENO, NV

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	W•••• F•••• A•••••••	Oct 23, 2023	Oct 20, 2023	-3	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Oct 20, 2023 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 12, 2020 to Oct 23, 2023factForm ADV

Dated events

Occurred
Oct 23, 2023
Advisor changed firm
R••••• L••••• Y••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2023-10-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:83ab2d69-5d1d-d93e-3b9f-4b93f1668a5f
First observed: Jun 12, 2020
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.