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M•••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

M•••••• S•••••

Advisor at W•••• F•••• A•••••••

MISSION VIEJO, CA

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Search this name across graphsid dfx:ria:9a3f07a5-73ec-a91b-c620-3f494740151b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 17, 2004 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: Jun 14, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6

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	Dec 10, 2013	n/a	yes	MISSION VIEJO, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Jan 4, 2013	Nov 26, 2013	no	IRVINE, CA

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
S•••••••• A••••••• L••	W•••• F•••• A•••••••	Nov 26, 2013	Dec 10, 2013	14	Firm change	Ibd to wirehouse
A••••••••• L•••	S•••••••• A••••••• L••	Nov 28, 2012

Relationships

Registered with (7)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Dec 10, 2013 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 4, 2013 to Nov 26, 2013factForm ADV
→ A••••••••• L•••Registered adviserregistration: previous registration
May 21, 2012 to Nov 28, 2012factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a3f07a5-73ec-a91b-c620-3f494740151b
First observed: Jun 17, 2004
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.