DFX Intelligence

W••••• A•••••• L•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

W••••• A•••••• L•••••••••

Advisor at M••••• S••••••

Newport Beach, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:acc9ee95-a156-5624-adc7-6b4b6c45aa78

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2014 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: M••••• S••••••
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: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	May 28, 2019	n/a	yes	Newport Beach, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 24, 2014	May 29, 2019	no	IRVINE, CA\|EL SEGUNDO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	M••••• S••••••	May 29, 2019	May 28, 2019	-1	Firm change	Wirehouse to wirehouse

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:149777:CA:2019-05-29	May 29, 2019	May 28, 2019	EL SEGUNDO, CA	Firm change

Relationships

Registered with (2)

→ M••••• S••••••Registered adviserregistration: current employment
May 28, 2019 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 24, 2014 to May 29, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:acc9ee95-a156-5624-adc7-6b4b6c45aa78
First observed: Jun 24, 2014
Last observed: Sep 14, 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.