DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

J••••• D••• M•••••••

Advisor at C•••••••• F••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:16d71b99-03e1-c813-970d-e85b6121fffc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 20, 1999 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: C•••••••• F••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 25, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• F••••••••• I•••	Bd affiliated wealth	Feb 21, 2017	n/a	yes	W•••LAKE VILLAGE, CA\|LEESBURG, VA\|ANAHEIM, CA	Current employment
F•••••••• W••• G••••	Former SEC adviser	Jun 3, 2014	Feb 17, 2017	no	W•••LAKE VILLAGE, CA\|W•••LAKE VILLAGE, CA\|Irvine, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• W••• G••••	C•••••••• F••••••••• I•••	Feb 17, 2017	Feb 21, 2017	4	Firm change	Other
S••••••••• A•••••• A•••••••• I•••	A••••••• F•••••••• N•••••• A••••••• S•••••••• L••	Jun 5, 2014	Apr 23, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
16668:30833:CA:2017-02-17	Feb 17, 2017	Feb 21, 2017	IRVINE, CA	Firm change

Relationships

Registered with (5)

→ C•••••••• F••••••••• I•••Registered adviserregistration: current employment
Feb 21, 2017 to presentfactForm ADV
→ F•••••••• W••• G••••Registered adviserregistration: previous registration
Jun 3, 2014 to Feb 17, 2017factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 25, 2004 to Jun 5, 2014factForm ADV
→ A••••••• F•••••••• N•••••• A••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16d71b99-03e1-c813-970d-e85b6121fffc
First observed: Dec 20, 1999
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.