L••• L• K•

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

••• 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:efb0405e-f021-bdeb-e478-6ba44f8d744a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2004 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••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 1, 2021	n/a	yes	CUPERTINO, CA\|PLYMOUTH, MN\|SOUTH SAN FRANCISCO, CA\|AUSTIN, TX	Current employment
P••••• P•••••• C•••••• M••••••••• L••	Former SEC adviser	Nov 26, 2007	Jun 4, 2021	no	P••••••A, CA\|SAN MARINO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••• P•••••• C•••••• M••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 4, 2021	Jun 1, 2021	-3	Firm change	RIA to ibd
P•••••• F•••••••• M••••••••• I••	P••••• P•••••• C•••••• M••••••••• L••	Nov 27, 2007	Nov 26, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
108063:116407:CA:2021-06-04	Jun 4, 2021	Jun 1, 2021	SAN MARINO, CA	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 1, 2021 to presentfactForm ADV
→ P••••• P•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 26, 2007 to Jun 4, 2021factForm ADV
→ P•••••• F•••••••• M••••••••• I••Registered adviserregistration: previous registration
Oct 4, 2004 to Nov 27, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efb0405e-f021-bdeb-e478-6ba44f8d744a
First observed: Oct 4, 2004
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.