DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

J••••• H••••••••• L••

Advisor at T••••••••• A•••••••• L••

MONROVIA, CA

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Search this name across graphsid dfx:ria:493f7a34-3757-1093-277d-8d350d1cce9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Aug 22, 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: T••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 4, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• A•••••••• L••	Independent wealth	Jan 15, 2021	n/a	yes	MONROVIA, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 2, 2018	Apr 3, 2019	no	MONTEREY PARK, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	T••••••••• A•••••••• L••	Apr 3, 2019	Jan 15, 2021	653	Firm change after gap	Ibd to RIA
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Sep 15, 2017	Jan 2, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:CA:2017-09-15	Sep 15, 2017	Jan 2, 2018	SAN DIEGO, CA	Firm change
105644:6413:CA:2017-02-28	Feb 28, 2017	Mar 1, 2017	ROWLAND HEIGHTS, CA	Firm change

Relationships

Registered with (7)

→ T••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 15, 2021 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 2, 2018 to Apr 3, 2019factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 1, 2017 to Sep 15, 2017factForm ADV
→ C••••• I••••••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:493f7a34-3757-1093-277d-8d350d1cce9d
First observed: Aug 22, 2002
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.