DFX Intelligence

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

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

S•••• N•••• K•••••

Advisor at W•••• F•••• A•••••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Aug 6, 2020 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
W•••• F•••• A•••••••	Wirehouse	Jan 28, 2026	n/a	yes	IRVINE, CA\|BUENA PARK, CA\|ANAHEIM, CA	Current employment
F••••• W••••• P•••••••• I•••	Independent wealth	Mar 27, 2025	Jan 22, 2026	no	ONTARIO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••• W••••• P•••••••• I•••	W•••• F•••• A•••••••	Jan 22, 2026	Jan 28, 2026	6	Firm change	RIA to wirehouse
N•• M••••	F••••• W••••• P•••••••• I•••	Jul 23, 2023	Mar 27, 2025

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jan 28, 2026 to presentfactForm ADV
→ F••••• W••••• P•••••••• I•••Registered adviserregistration: previous registration
Mar 27, 2025 to Jan 22, 2026factForm ADV
→ N•• M••••Registered adviserregistration: previous registration
Aug 6, 2020 to Jul 23, 2023factForm ADV

Dated events

Order

Occurred
22 Jan 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Jul 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 6, 2020
Last observed: Sep 15, 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.