DFX Intelligence

R••• F• N••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

R••• F• N••••••

Advisor at J••• M••••• S••••••••• L••

LAGUNA NIGUEL, CA

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Search this name across graphsid dfx:ria:580bc905-f57a-610d-30cb-a3d668b2631a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2007 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 20, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	n/a	yes	LAGUNA NIGUEL, CA	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	ALISO VIEJO, CA\|LADERA RANCH, CA\|LAGUNA NIGUEL, CA\|DANA POINT, CA\|LOS ANGELES, CA\|DANA POINT, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
W••• I••••••••• I•••	C•••• I••••••••• S••••••• C••••	May 2, 2009	May 2, 2009

Relationships

Registered with (3)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Oct 1, 2012 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ W••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 18, 2007 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:580bc905-f57a-610d-30cb-a3d668b2631a
First observed: Dec 18, 2007
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.