D•••• L• A••••

Advisor at R•••••• J•••• • A••••••••• I•••

ROLLING HILLS ESTATES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:57f8f2df-a43e-f3a6-00b3-10bba3760dc9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 21, 2000 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 3, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Nov 21, 2022	n/a	yes	ROLLING HILLS ESTATES, CA	Current employment
V•••••• C•••••• M••••••••• L•	Former SEC adviser	Nov 20, 2020	Nov 29, 2022	no	SAN DIEGO, CA\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•••••• C•••••• M••••••••• L•	R•••••• J•••• • A••••••••• I•••	Nov 29, 2022	Nov 21, 2022	-8	Firm change	RIA to ibd
C••••••••• W••••• M•••••••••	V•••••• C•••••• M••••••••• L•	Oct 28, 2020	Nov 20, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
108404:160150:CA:2020-10-28	Oct 28, 2020	Nov 20, 2020	SAN DIEGO, CA	Firm change

Relationships

Registered with (9)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Nov 21, 2022 to presentfactForm ADV
→ V•••••• C•••••• M••••••••• L•Registered adviserregistration: previous registration
Nov 20, 2020 to Nov 29, 2022factForm ADV
→ C••••••••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 3, 2019 to Oct 28, 2020factForm ADV
→ N••• F•••••••• S•••••••

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
D•••• L• A•••• left V•••••• C•••••• M••••••••• L• for R•••••• J•••• • A••••••••• I••• (registered 2022-11-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57f8f2df-a43e-f3a6-00b3-10bba3760dc9
First observed: Jan 21, 2000
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.