DFX Intelligence

W•••••• F••••••• C••••••: 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)29 years in industry

W•••••• F••••••• C••••••

Advisor at R•••••• J•••• • A••••••••• I•••

Huntington Beach, CA | 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:c7f358f6-7f46-b13d-274c-f5551b2aea55

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 19, 2003 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 30, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Oct 28, 2022	n/a	yes	Huntington Beach, CA\|NEWPORT BEACH, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 13, 2020	Nov 3, 2022	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	Nov 3, 2022	Oct 28, 2022	-6	Firm change	Wirehouse to ibd
S•••••••• I••••••••• M•••••••••	W•••• F•••• A•••••••	Mar 7, 2018	Jan 13, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:705:CA:2022-11-03	Nov 3, 2022	Oct 28, 2022	IRVINE, CA	Firm change
169988:19616:MO:2018-03-07	Mar 7, 2018	Jan 13, 2020	SAINT LOUIS, MO	Firm change after gap

Relationships

Registered with (4)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Oct 28, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 13, 2020 to Nov 3, 2022factForm ADV
→ S•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Sep 1, 2016 to Mar 7, 2018factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Nov 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7f358f6-7f46-b13d-274c-f5551b2aea55
First observed: May 19, 2003
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.