L••• M••••

Advisor at W•••• F•••• A•••••••

SANTA ANA, 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:c6980537-915d-5713-216e-6e5de6f0495d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 5, 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: May 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Nov 7, 2022	n/a	yes	SANTA ANA, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 29, 2013	Nov 7, 2022	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Nov 7, 2022	Nov 7, 2022	0	Channel change	Wirehouse to wirehouse
C••••••• W••••• • C••	W•••• F•••• A•••••••	Apr 29, 2013	Apr 29, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:CA:2022-10-14	Nov 7, 2022	Nov 7, 2022	IRVINE, CA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Nov 7, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 29, 2013 to Nov 7, 2022factForm ADV
→ C••••••• W••••• • C••Registered adviserregistration: previous registration
Mar 5, 2007 to Apr 29, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6980537-915d-5713-216e-6e5de6f0495d
First observed: Mar 5, 2007
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.