DFX Intelligence

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

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RIA / WealthAdvisor19 years in industry

J•••• J••••• K••

Advisor at C••••••• P••••••• I••••••••• A•••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:3fc6a1a9-fa4b-829f-b5d6-1bb95a7dd669

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2011 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: C••••••• P••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Dec 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Apr 11, 2013	n/a	yes	NEWPORT BEACH, CA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Aug 28, 2012	Apr 16, 2013	no	NEWPORT BEACH, CA\|Lake Forest, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	C••••••• P••••••• I••••••••• A•••••••• L••	Apr 16, 2013	Apr 11, 2013	-5	Firm change	Other
W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I•••	C••••• A•••••• N••••••• L••	Jul 27, 2012	Aug 28, 2012

Relationships

Registered with (3)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 11, 2013 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Aug 28, 2012 to Apr 16, 2013factForm ADV
→ W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 26, 2011 to Jul 27, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fc6a1a9-fa4b-829f-b5d6-1bb95a7dd669
First observed: Aug 26, 2011
Last observed: Sep 14, 2026 9 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.