DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

M•••••••• L•••••

Advisor at W•••• F•••• A•••••••

EL SEGUNDO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2013 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 20, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Feb 23, 2024	n/a	yes	EL SEGUNDO, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Apr 2, 2013	Feb 24, 2024	no	SEAL BEACH, CA\|BUENA PARK, CA\|BUENA PARK, CA\|CYPRESS, CA\|SEAL BEACH, CA\|LA PALMA,, CA\|SEAL BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Feb 24, 2024	Feb 23, 2024	-1	Firm change	Wirehouse to wirehouse

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:19616:CA:2024-02-24	Feb 24, 2024	Feb 23, 2024	SEAL BEACH, CA	Firm change

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 2, 2013 to Feb 24, 2024factForm ADV

Dated events

Order

Occurred
24 Feb 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2013
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.