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

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RIA / WealthAdvisorCertified Financial Planner18 years in industry

S•••• W•••••• O••••••

Advisor at W•••••••••

RAMONA, CA | AUSTIN, TX

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Search this name across graphsid dfx:ria:a1092216-ed44-e3a3-6c96-1ec96d86e675

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 15, 2008 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•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 14derivedfrom 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
W•••••••••	Independent wealth	Jun 11, 2012	n/a	yes	RAMONA, CA\|AUSTIN, TX	Current employment
C••••••••• W••••• L••	Former SEC adviser	Nov 9, 2023	Dec 31, 2025	no	RAMONA, CA\|AUSTIN, TX

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
C••••••••• W••••• L••	n/a	Dec 31, 2025	n/a	n/a	Departure no registered destination	Departure
T••••••• L•••	W•••••••••	Dec 31, 2013	Jun 11, 2012

Relationships

Registered with (6)

→ W•••••••••Registered adviserregistration: current employment
Jun 11, 2012 to presentfactForm ADV
→ C••••••••• W••••• L••Registered adviserregistration: previous registration
Nov 9, 2023 to Dec 31, 2025factForm ADV
→ T••••••• L•••Registered adviserregistration: previous registration
Jun 11, 2012 to Dec 31, 2013factForm ADV
→ C••••••• P•••••••

Dated events

Occurred
Dec 31, 2025
Advisor departed, no destination yet
S•••• W•••••• O•••••• no longer registered at C••••••••• W••••• L••; no later IA registration on IAPD
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1092216-ed44-e3a3-6c96-1ec96d86e675
First observed: Jan 15, 2008
Last observed: Sep 14, 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.