DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••••••• D•••• R••••

Advisor at W•••• F•••• A•••••••

SAN JOSE, CA

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Search this name across graphsid dfx:ria:f3cbb16c-5606-35a1-f26f-671f763e09ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 26, 2023 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: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom 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•••• F•••• A•••••••	Wirehouse	Dec 9, 2025	n/a	yes	SAN JOSE, CA\|SAN JOSE, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 26, 2023	Nov 19, 2025	no	SAN JOSE, CA\|SAN JOSE, CA\|NEW YORK, NY\|SAN JOSE, CA\|SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Nov 19, 2025	Dec 9, 2025	20	Firm change	Wirehouse to wirehouse

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:19616:CA:2025-11-18	Nov 19, 2025	Dec 9, 2025	SAN JOSE, CA	Firm change

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Dec 9, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 26, 2023 to Nov 19, 2025factForm ADV

Dated events

Occurred
Nov 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3cbb16c-5606-35a1-f26f-671f763e09ad
First observed: Apr 26, 2023
Last observed: Sep 14, 2026 9 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.