DFX Intelligence

C••••••••• T••••• U•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)24 years in industry

C••••••••• T••••• U•••••

Advisor at W••••••••• A••••••• P••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:cb9db8c8-6c71-4ad9-d5b3-3c4fb14ff915

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2005 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Feb 3, 2016	n/a	yes	WEST CHESTER, PA\|Phoenix, AZ\|Naples, FL	Current employment
W•••••• • R•••	Former SEC adviser	Dec 18, 2007	Feb 6, 2016	no	PEORIA, AZ\|SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	W••••••••• A••••••• P••••••• L••	Feb 6, 2016	Feb 3, 2016	-3	Firm change	Other
F•••• C•••••• F•••••••• P•••••••• I•••	W•••••• • R•••	Apr 5, 2007	Dec 18, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
866:171976:AZ:2016-02-06	Feb 6, 2016	Feb 3, 2016	SCOTTSDALE, AZ	Firm change

Relationships

Registered with (4)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Feb 3, 2016 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Dec 18, 2007 to Feb 6, 2016factForm ADV
→ F•••• C•••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 2, 2005 to Apr 5, 2007factForm ADV
→ F•••• C•••••• B•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb9db8c8-6c71-4ad9-d5b3-3c4fb14ff915
First observed: Jan 4, 2005
Last observed: Sep 15, 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.