DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)24 years in industry

S•••• S•••••

Advisor at W•••• F•••• A•••••••

NEWPORT BEACH, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2007 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 public••• Locked
Industry start: Jul 22, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 26, 2023	n/a	yes	NEWPORT BEACH, CA	Current employment
I•• C••••••• L••	Independent wealth	Dec 7, 2022	Jul 26, 2023	no	Newport Beach, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•• C••••••• L••	W•••• F•••• A•••••••	Jul 26, 2023	Sep 26, 2023	62	Firm change	RIA to wirehouse
S•••••• P••••••• I••••••••• S••••••••• L••	I•• C••••••• L••	Oct 4, 2019	Dec 7, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
301819:19616:CA:2023-07-26	Jul 26, 2023	Sep 26, 2023	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (8)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 26, 2023 to presentfactForm ADV
→ I•• C••••••• L••Registered adviserregistration: previous registration
Dec 7, 2022 to Jul 26, 2023factForm ADV
→ S•••••• P••••••• I••••••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 2, 2018 to Oct 4, 2019factForm ADV
→ R•• S••••••••• I•••

Dated events

Order

Occurred
26 Jul 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 26, 2007
Last observed: Sep 14, 2026 10 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.