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T••• L•: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

T••• L•

Advisor at J••• M••••• S••••••••• L••

BREA, CA

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Search this name across graphsid dfx:ria:31bb10b4-4d71-f7c3-14fb-c9aa29eea535

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2015 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: Feb 25, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jun 13, 2016	n/a	yes	BREA, CA	Current employment
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Aug 3, 2015	Jun 16, 2016	no	Glendora, CA\|San Gabriel, CA\|San Marino, CA\|SAN GABRIEL, CA\|LOS ANGELES, CA\|ARCADIA, CA\|CITY OF INDUSTRY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• A•••••••• L••	J••• M••••• S••••••••• L••	Jun 16, 2016	Jun 13, 2016	-3	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
14455:79:CA:2016-06-16	Jun 16, 2016	Jun 13, 2016	CITY OF INDUSTRY, CA	Firm change

Relationships

Registered with (2)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jun 13, 2016 to presentfactForm ADV
→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2015 to Jun 16, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31bb10b4-4d71-f7c3-14fb-c9aa29eea535
First observed: Aug 3, 2015
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.