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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

A••• N•••••

Advisor at F•••• T•••• S••••••••• I•••

Costa Mesa, CA | Westminster, CA | COSTA MESA, CA

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Search this name across graphsid dfx:ria:bed3629c-6d08-bd53-afc3-1ec7c1787b8c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2016 to Sep 15, 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: F•••• T•••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	Jul 8, 2026	n/a	yes	COSTA MESA, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 3, 2023	n/a	yes	Costa Mesa, CA\|Westminster, 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
C••••••• S•••••••••	A••••••••• F•••••••• S•••••••• L••	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
W•••• F•••• A•••••••	C••••••• S•••••••••	Aug 16, 2019

Relationships

Registered with (4)

→ F•••• T•••• S••••••••• I•••Registered adviserregistration: current employment
Jul 8, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ C••••••• S•••••••••Registered adviserregistration: previous registration
Oct 22, 2019 to Nov 3, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bed3629c-6d08-bd53-afc3-1ec7c1787b8c
First observed: Jan 28, 2016
Last observed: Sep 15, 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.