DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R••• J••• S•••••••

Advisor at R•• C•••••• M••••••• L••

Franktown, CO | SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:21da989f-ae6f-76a3-f82a-97b6d6a40562

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2004 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jan 13, 2014	n/a	yes	Franktown, CO\|SAN DIEGO, CA	Current employment
M••••• S••••••	Wirehouse	Apr 16, 2010	Jan 16, 2014	no	SAN DIEGO, CA\|San Diego, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•• C•••••• M••••••• L••	Jan 16, 2014	Jan 13, 2014	-3	Firm change	Wirehouse to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Apr 20, 2010	Apr 16, 2010

Relationships

Registered with (4)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jan 13, 2014 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 16, 2010 to Jan 16, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Apr 20, 2010factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21da989f-ae6f-76a3-f82a-97b6d6a40562
First observed: Feb 23, 2004
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.