DFX Intelligence

C••• R••••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C••• R••••• W•••••••

Advisor at W•••••• S••••••••• I•••

LA JOLLA, CA | Pasadena, CA

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Search this name across graphsid dfx:ria:e5b2ec8d-50b6-5390-b572-4414deb4fdce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2025 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•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• S••••••••• I•••	Bd affiliated wealth	Jan 5, 2026	n/a	yes	Pasadena, CA\|LA JOLLA, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Sep 22, 2025	Nov 27, 2025	no	Pasadena, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	W•••••• S••••••••• I•••	Nov 27, 2025	Jan 5, 2026	39	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Sep 22, 2025 to Nov 27, 2025factForm ADV

Dated events

Occurred
Nov 27, 2025
Advisor changed firm
C••• R••••• W••••••• left C•••••• S••••• • C••• I••• for W•••••• S••••••••• I••• (registered 2026-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5b2ec8d-50b6-5390-b572-4414deb4fdce
First observed: Sep 22, 2025
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.