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G•••• T•••••• U•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

G•••• T•••••• U•••••••

Advisor at W•••• F•••• A•••••••

FOOTHILL RANCH, CA

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Search this name across graphsid dfx:ria:a4377eeb-f5d2-4daf-56da-3b12ff9f1074

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2003 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: Jan 29, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

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	Nov 3, 2025	n/a	yes	FOOTHILL RANCH, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 6, 2012	Nov 3, 2025	no	IRVINE, CA\|IRVINE, CA\|LAGUNA WOODS, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|FOOTHILL RANCH, 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
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Nov 3, 2025	Nov 3, 2025	0	Channel change	Wirehouse to wirehouse
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Nov 13, 2012

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Nov 3, 2025 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 6, 2012 to Nov 3, 2025factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 7, 2005 to Nov 13, 2012factForm ADV
→ M••••• S•••••• D• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4377eeb-f5d2-4daf-56da-3b12ff9f1074
First observed: Jan 31, 2003
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.