DFX Intelligence

K••••••••• P••••••••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

K••••••••• P••••••••• G••••••

Advisor at J••• M••••• S••••••••• L••

YORBA LINDA, CA

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Search this name across graphsid dfx:ria:17886b84-b2eb-add4-aa6d-5c3c043b5246

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2006 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: Mar 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Nov 27, 2012	n/a	yes	YORBA LINDA, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 9, 2012	Nov 5, 2012	no	TUSTIN, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	J••• M••••• S••••••••• L••	Nov 5, 2012	Nov 27, 2012	22	Firm change	Other
C•••• I••••••••• S••••••• C••••	L•• F•••••••• L••	Nov 8, 2011	Feb 9, 2012

Relationships

Registered with (6)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Nov 27, 2012 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 9, 2012 to Nov 5, 2012factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Apr 19, 2011 to Nov 8, 2011factForm ADV
→ J••• H•••••• I••••••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17886b84-b2eb-add4-aa6d-5c3c043b5246
First observed: Mar 24, 2006
Last observed: Sep 14, 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.