DFX Intelligence

R•••••• W• J••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

R•••••• W• J••••••

Advisor at S••••• F••••••••

ORANGE, CA

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Search this name across graphsid dfx:ria:c03783af-cab8-2f83-d658-85721af14261

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 31, 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: S••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 5, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••	Independent wealth	Jan 1, 2025	n/a	yes	ORANGE, CA	Current employment
C•••• C•••••• S••••••••• L•••	Former SEC adviser	Nov 30, 2015	Mar 25, 2024	no	YORBA LINDA, CA\|ORANGE, CA\|ORANGE, CA\|ORANGE, CA\|HENDERSON, NV

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• C•••••• S••••••••• L•••	S••••• F••••••••	Mar 25, 2024	Jan 1, 2025	282	Firm change	Ibd to RIA
J• W• C••• A•••••••• I•••	C•••• C•••••• S••••••••• L•••	Dec 24, 2014	Nov 30, 2015

Relationships

Registered with (4)

→ S••••• F••••••••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
Nov 30, 2015 to Mar 25, 2024factForm ADV
→ J• W• C••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 6, 2014 to Dec 24, 2014factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Mar 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c03783af-cab8-2f83-d658-85721af14261
First observed: Dec 31, 1997
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.