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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

C••••• W•••••••

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

Phoenix, AZ

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Search this name across graphsid dfx:ria:930031e3-5031-cbc3-f7de-a67e44c098b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Oct 6, 2014 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom 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
S••••• W••••• A•••••••• I•••	No RAUM reported	Aug 1, 2025	n/a	yes	Phoenix, AZ	Current employment
P•••••••• W••••• L••	n/a	Sep 20, 2024	Jul 11, 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
P•••••••• W••••• L••	S••••• W••••• A•••••••• I•••	Jul 11, 2025	Aug 1, 2025	21	Firm change	Other
M••••••	P•••••••• W••••• L••	Aug 19, 2024

Relationships

Registered with (5)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Aug 1, 2025 to presentfactForm ADV
→ P•••••••• W••••• L••Registered adviserregistration: previous registration
Sep 20, 2024 to Jul 11, 2025factForm ADV
→ M••••••Registered adviserregistration: previous registration
Aug 18, 2023 to Aug 19, 2024factForm ADV
→ T••••••••• W•••••Registered adviser

Dated events

Occurred
Jul 11, 2025
Advisor changed firm
C••••• W••••••• left P•••••••• W••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-08-01)
Form ADVobserved 7 days ago
Occurred
Aug 19, 2024
Advisor changed firm
C••••• W••••••• left Mariner for P•••••••• W••••• L•• (registered 2024-09-20)
Form ADVobserved 7 days ago
Occurred
Jul 21, 2023
Advisor changed firm
C••••• W••••••• left T••••••••• W••••• for Mariner (registered 2023-08-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:930031e3-5031-cbc3-f7de-a67e44c098b3
First observed: Oct 6, 2014
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.