DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

S•••• A••• M••••••

Advisor at W•••• F•••• A•••••••

STOCKTON, CA | SAN FRANCISCO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 9, 2009 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 19, 2023	n/a	yes	STOCKTON, CA\|SAN FRANCISCO, CA	Current employment
B••••••• I••••••••• S•••••••• I••• •••••	Former SEC adviser	Nov 26, 2013	Aug 24, 2023	no	SACRAMENTO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• S•••••••• I••• •••••	W•••• F•••• A•••••••	Aug 24, 2023	Sep 19, 2023	26	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 19, 2023 to presentfactForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Nov 26, 2013 to Aug 24, 2023factForm ADV

Dated events

Order

Occurred
24 Aug 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 9, 2009
Last observed: Sep 14, 2026 10 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.