DFX Intelligence

W•••••• D••••••••: 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)18 years in industry

W•••••• D••••••••

Advisor at W•••• F•••• A•••••••

••• Locked

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:dd9e0498-9795-ac21-731d-926a486d7781

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 16, 2008 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: Nov 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Apr 15, 2022	n/a	yes	SAN LUIS OBISPO, CA\|OXNARD, CA\|OXNARD, CA\|OXNARD, CA\|SANTA PAULA, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 14, 2019	Apr 18, 2022	no	OXNARD, CA\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Apr 18, 2022	Apr 15, 2022	-3	Firm change	Wirehouse to wirehouse
W•••• F•••• A•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	May 23, 2019	Jun 14, 2019

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 24, 2018 to May 23, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 14, 2019 to Apr 18, 2022factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Dec 16, 2008 to Jan 3, 2011factForm ADV

Dated events

Occurred
Apr 18, 2022
Advisor changed firm
W•••••• D•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2022-04-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd9e0498-9795-ac21-731d-926a486d7781
First observed: Dec 16, 2008
Last observed: Sep 15, 2026 7 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.