DFX Intelligence

P•••••• R••• F•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor19 years in industry

P•••••• R••• F•••

Advisor at S•••••• W••••• P•••••••• L••

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:cfad37e2-9081-0bd4-1562-41863a81c65d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 16, 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: S•••••• W••••• P•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 15, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Mar 11, 2016	n/a	yes	SAN DIEGO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 16, 2007	Sep 24, 2015	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• W••••• P•••••••• L••	Sep 24, 2015	Mar 11, 2016	169	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:153184:CA:2015-09-24	Sep 24, 2015	Mar 11, 2016	SAN DIEGO, CA	Firm change

Relationships

Registered with (2)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Mar 11, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 16, 2007 to Sep 24, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfad37e2-9081-0bd4-1562-41863a81c65d
First observed: Aug 16, 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.