DFX Intelligence

J•• A•••••••• E•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

J•• A•••••••• E•••••••

Advisor at G••••• S•••• W••••• M••••••••• L••

Santa Monica, CA | POWELL, WY

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Search this name across graphsid dfx:ria:2e0f881c-bf8e-5710-c0c9-4bb6ecbf090d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 11, 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: G••••• S•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• S•••• W••••• M••••••••• L••	Independent wealth	Dec 17, 2024	n/a	yes	Santa Monica, CA\|POWELL, WY	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 11, 1999	Nov 22, 2016	no	HONOLULU, HI\|LOS ANGELES, CA\|LOS ANGELES, CA\|HONOLULU, HI\|LOS ANGELES, CA\|HONOLULU, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	G••••• S•••• W••••• M••••••••• L••	Nov 22, 2016	Dec 17, 2024	2,947	Firm change after gap	Ibd to RIA

Relationships

Registered with (2)

→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 17, 2024 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 11, 1999 to Nov 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e0f881c-bf8e-5710-c0c9-4bb6ecbf090d
First observed: May 11, 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.