DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

J•••• A•••• J••••••

Advisor at S•••••••• E••••• P•••••••• L•••

GROVER BEACH, CA

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Search this name across graphsid dfx:ria:0d919669-8ca7-93af-115d-f1811d9fc2ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 21, 2007 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: S•••••••• E••••• P•••••••• L•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2023	n/a	yes	GROVER BEACH, CA	Current employment
S•••••••• E••••• P•••••••• L•••	Independent wealth	Nov 13, 2014	n/a	yes	GROVER BEACH, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	S•••••••• E••••• P•••••••• L•••	Nov 3, 2023	Nov 13, 2014	-3,277	Firm change after gap	Other
C•••• I••••••••• S••••••• C••••	F•• S••••••••• C•••••••••	Jan 6, 2011	Jan 21, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
7461:154481:CA:2023-11-03	Nov 3, 2023	Nov 13, 2014	GROVER BEACH, CA	Firm change after gap

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ S•••••••• E••••• P•••••••• L•••Registered adviserregistration: current employment
Nov 13, 2014 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 21, 2011 to Nov 3, 2023factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d919669-8ca7-93af-115d-f1811d9fc2ec
First observed: Sep 21, 2007
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.