DFX Intelligence

D•••••• F•••• V•• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

D•••••• F•••• V•• D••••

Advisor at W•••••• S••••••••• I•••

Pasadena, CA | SANTA ROSA, CA

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Search this name across graphsid dfx:ria:acb3a61c-2019-4a31-0627-4c9f1d40b8d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 25, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Mar 2, 2007	n/a	yes	SANTA ROSA, CA\|Pasadena, CA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jul 8, 1997	Jan 18, 2006	no	SANTA ROSA, CA\|SANTA ROSA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	W•••••• S••••••••• I•••	Jan 18, 2006	Mar 2, 2007	408	Firm change after gap	Other

Relationships

Registered with (2)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 2, 2007 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Jan 18, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:acb3a61c-2019-4a31-0627-4c9f1d40b8d6
First observed: Jul 8, 1997
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.