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E••• P• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

E••• P• C•••••••

Advisor at T••••• W••••• M•••••••••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:4ac476f6-61c8-b374-b08b-abf5869be6f9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 11, 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: T••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 30, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom 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
T••••• W••••• M•••••••••	Independent wealth	Oct 16, 2025	n/a	yes	SANTA BARBARA, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Aug 31, 2023	Jan 5, 2024	no

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
J••• M••••• S••••••••• L••	T••••• W••••• M•••••••••	Jan 5, 2024	Oct 16, 2025	650	Firm change after gap	Wirehouse to RIA
F••••••• P••••••• A•• W•••••••• A•••••••	J••• M••••• S••••••••• L••	Mar 13, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
288590:79:MA:2023-03-13	Mar 13, 2023	Aug 31, 2023	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ T••••• W••••• M•••••••••Registered adviserregistration: current employment
Oct 16, 2025 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 31, 2023 to Jan 5, 2024factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Mar 13, 2023factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Jan 5, 2024
Advisor changed firm
E••• P• C••••••• left J••• M••••• S••••••••• L•• for T••••• W••••• M••••••••• (registered 2025-10-16)
Form ADVobserved 7 days ago
Occurred
Mar 13, 2023
Advisor changed firm
E••• P• C••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-08-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ac476f6-61c8-b374-b08b-abf5869be6f9
First observed: Nov 11, 2011
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.