DFX Intelligence

D•••• H••••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

D•••• H••••••• R•••••

Advisor at W•••• F•••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:d7b612ff-1a17-67c1-f218-aa6f515f23d1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 26, 2024	n/a	yes	SUNNY ISLES BEACH, FL\|AVENTURA, FL\|SAN DIEGO, CA	Current employment
M••••• S••••••	Wirehouse	Feb 15, 2013	Oct 1, 2024	no	San Diego, CA\|San Diego, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	W•••• F•••• A•••••••	Oct 1, 2024	Sep 26, 2024	-5	Firm change	Wirehouse to wirehouse
W•••• F•••• A•••••••	M••••• S••••••	Feb 19, 2013	Feb 15, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:CA:2024-09-10	Oct 1, 2024	Sep 26, 2024	SAN DIEGO, CA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2003 to Feb 19, 2013factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 15, 2013 to Oct 1, 2024factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration
Jul 8, 1997 to Jul 1, 2003factForm ADV

Dated events

Occurred
Oct 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7b612ff-1a17-67c1-f218-aa6f515f23d1
First observed: Jul 8, 1997
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.