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

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RIA / WealthAdvisorCertified Financial Planner27 years in industry

A••••••• S•••••• Y•••••

Advisor at S•••••••• W••••• C••••••

SAN FRANCISCO, 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:cfa1ac41-5ea6-429f-ba83-6e68419471fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 10, 1999 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•••••••• W••••• C••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
S•••••••• W••••• C••••••	Independent wealth	May 25, 2023	n/a	yes	SAN FRANCISCO, CA	Current employment
S•••••••• A•••••••• L••	Bd affiliated wealth	Sep 13, 2019	Jun 30, 2023	no

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
S•••••••• A•••••••• L••	S•••••••• W••••• C••••••	Jun 30, 2023	May 25, 2023	-36	Firm change after gap	Ibd to new firm
M••••• S••••••	S•••••••• A•••••••• L••	Sep 17, 2019

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:226606:CA:2019-09-16	Sep 17, 2019	Sep 13, 2019	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (4)

→ S•••••••• W••••• C••••••Registered adviserregistration: current employment
May 25, 2023 to presentfactForm ADV
→ S•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 13, 2019 to Jun 30, 2023factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 22, 2009 to Sep 17, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jun 30, 2023
Advisor changed firm
A••••••• S•••••• Y••••• left S•••••••• A•••••••• L•• for S•••••••• W••••• C•••••• (registered 2023-05-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfa1ac41-5ea6-429f-ba83-6e68419471fa
First observed: Mar 10, 1999
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.