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W•••••• G•••••• D•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

W•••••• G•••••• D•••••••

Advisor at R•• S••••••••• I•••

Newport Beach, CA | Huntington Beach, CA | IRVINE, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:898e91b0-26cc-2c8d-c432-fd7fa28feb1e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2014 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: R•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 25, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

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
R•• S••••••••• I•••	Bd affiliated wealth	Jun 13, 2025	n/a	yes	IRVINE, CA\|LOS ANGELES, CA\|Newport Beach, CA\|Huntington Beach, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 14, 2016	Apr 22, 2025	no

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•• S••••••••• I•••	Apr 22, 2025	Jun 13, 2025	52	Firm change	Wirehouse to RIA
W•••••• • R•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 15, 2016

Relationships

Registered with (4)

→ R•• S••••••••• I•••Registered adviserregistration: current employment
Jun 13, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 14, 2016 to Apr 22, 2025factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Mar 11, 2015 to Jan 15, 2016factForm ADV
→ E••••• J••••

Dated events

Occurred
Apr 22, 2025
Advisor changed firm
W•••••• G•••••• D••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• S••••••••• I••• (registered 2025-06-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:898e91b0-26cc-2c8d-c432-fd7fa28feb1e
First observed: Jun 23, 2014
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.