DFX Intelligence

O••• A••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

O••• A••• W•••••

Advisor at J••• M••••• S••••••••• L••

Westlake Village, CA

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Search this name across graphsid dfx:ria:3f19839e-22d4-40d1-2c7d-218c27940447

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Aug 19, 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 3, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Sep 5, 2025	n/a	yes	Westlake Village, CA	Current employment
M•••••••• W••• A•••• M••••••••• L••	Independent wealth	Jul 12, 2023	Jul 16, 2025	no	LOS ANGELES, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••••• W••• A•••• M••••••••• L••	J••• M••••• S••••••••• L••	Jul 16, 2025	Sep 5, 2025	51	Firm change	RIA to wirehouse
A••••••••• L••	M•••••••• W••• A•••• M••••••••• L••	Feb 14, 2023	Jul 12, 2023

Relationships

Registered with (5)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ M•••••••• W••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jul 12, 2023 to Jul 16, 2025factForm ADV
→ A••••••••• L••Registered adviserregistration: previous registration
Feb 14, 2018 to Feb 14, 2023factForm ADV
→ B••••••• C•••••• I•••

Dated events

Occurred
Jul 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f19839e-22d4-40d1-2c7d-218c27940447
First observed: Aug 19, 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.