DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)11 years in industry

Z•••• Y•

Advisor at S••••• W••••• A•••••••• I•••

Irvine, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Feb 14, 2022 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••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Jan 7, 2026	n/a	yes	Irvine, CA	Current employment
E••••• J••••	National bd RIA	Oct 24, 2023	Dec 10, 2025	no	CHINO HILLS, CA\|SAN DIMAS, CA\|San Dimas, CA\|ST. LOUIS, MO\|Covina, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	S••••• W••••• A•••••••• I•••	Dec 10, 2025	Jan 7, 2026	28	Firm change	Other
T••••••••• A•••••••• L••	E••••• J••••	Sep 11, 2023	Oct 24, 2023

Relationships

Registered with (3)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jan 7, 2026 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Oct 24, 2023 to Dec 10, 2025factForm ADV
→ T••••••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 14, 2022 to Sep 11, 2023factForm ADV

Dated events

Order

Occurred
10 Dec 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
11 Sep 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2022
Last observed: Sep 14, 2026 9 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.