DFX Intelligence

S•••••• N•••••• K•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S•••••• N•••••• K•••••

Advisor at J••• M••••• S••••••••• L••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:1c8dd33d-f12d-8bd0-5772-fb6709fcac98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 10, 2019 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: Apr 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jun 30, 2026	n/a	yes	SANTA BARBARA, CA	Current employment
W••••••• C•••••• M••••••••• C•	Independent wealth	Jan 11, 2022	Aug 14, 2024	no	LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• C•••••• M••••••••• C•	J••• M••••• S••••••••• L••	Aug 14, 2024	Jun 30, 2026	685	Firm change after gap	RIA to wirehouse
M••••• S••••••	W••••••• C•••••• M••••••••• C•	Jan 10, 2022	Jan 11, 2022

Relationships

Registered with (3)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jun 30, 2026 to presentfactForm ADV
→ W••••••• C•••••• M••••••••• C•Registered adviserregistration: previous registration
Jan 11, 2022 to Aug 14, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Dec 10, 2019 to Jan 10, 2022factForm ADV

Dated events

Occurred
Aug 14, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 10, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c8dd33d-f12d-8bd0-5772-fb6709fcac98
First observed: Dec 10, 2019
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.