DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

J••••• C••••••• S•••••••••

Advisor at S•••••• W••••• P•••••••• L••

Redwood City, CA

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Search this name across graphsid dfx:ria:294193a0-793b-6814-cea4-58334f5703c1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 1, 2002 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•••••• W••••• P•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 22, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Feb 14, 2024	n/a	yes	Redwood City, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	Feb 15, 2024	no	SAN CARLOS, CA\|REDWOOD CITY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	S•••••• W••••• P•••••••• L••	Feb 15, 2024	Feb 14, 2024	-1	Firm change	Ibd to ibd
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018	Nov 2, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:153184:CA:2024-02-15	Feb 15, 2024	Feb 14, 2024	REDWOOD CITY, CA	Firm change

Relationships

Registered with (6)

→ S•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Feb 14, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Nov 2, 2018 to Feb 15, 2024factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2004 to Nov 2, 2018factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

Occurred
Feb 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:294193a0-793b-6814-cea4-58334f5703c1
First observed: Mar 1, 2002
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.