DFX Intelligence

E••• A••••• R••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

E••• A••••• R••••••••

Advisor at J••• M••••• S••••••••• L••

Irvine, CA | Indianapolis, IN

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Search this name across graphsid dfx:ria:012c9c50-0fb4-816b-cc59-b31af629bed7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2010 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Aug 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
J••• M••••• S••••••••• L••	Wirehouse	Apr 14, 2021	n/a	yes	Indianapolis, IN\|Irvine, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jan 18, 2017	Mar 26, 2021	no	Indianapolis, IN\|Phoenix, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	J••• M••••• S••••••••• L••	Mar 26, 2021	Apr 14, 2021	19	Firm change	Ibd to wirehouse
I••••••••• N••••••••• H•••••• P•••••••••	C•••••• S••••• • C••• I•••	Jun 30, 2011	Jan 18, 2017

Relationships

Registered with (3)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Apr 14, 2021 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 18, 2017 to Mar 26, 2021factForm ADV
→ I••••••••• N••••••••• H•••••• P•••••••••Registered adviserregistration: previous registration
Nov 19, 2010 to Jun 30, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:012c9c50-0fb4-816b-cc59-b31af629bed7
First observed: Nov 19, 2010
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.