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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

J••••• N••••••• A••••••

Advisor at L•• F•••••••• L••

YUBA CITY, CA

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Search this name across graphsid dfx:ria:3b58117f-983b-2847-c856-41162e6aae36

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2007 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 18, 2025	n/a	yes	YUBA CITY, CA	Current employment
C••••••• • C••• I•••	Former SEC adviser	Apr 21, 2009	Apr 3, 2020	no	YUBA CITY, CA\|MALDEN, MA\|YUBA CITY, CA\|Malden, MA\|WOODLAND, CA\|Malden, MA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• • C••• I•••	L•• F•••••••• L••	Apr 3, 2020	Nov 18, 2025	2,055	Firm change after gap	Ibd to ibd
E••••• J••••	C••••••• • C••• I•••	Apr 6, 2009

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 18, 2025 to presentfactForm ADV
→ C••••••• • C••• I•••Registered adviserregistration: previous registration
Apr 21, 2009 to Apr 3, 2020factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Oct 11, 2007 to Apr 6, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b58117f-983b-2847-c856-41162e6aae36
First observed: Oct 11, 2007
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.