DFX Intelligence

C••••••••• J•••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst35 years in industry

C••••••••• J•••• R•••••

Advisor at 7• S•••••• I••••••••• M••••••••• L••

SANTA ANA, CA

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Search this name across graphsid dfx:ria:5c38910f-5ded-9a66-53ef-7c42092de282

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 15, 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: 7• S•••••• I••••••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 24, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
7• S•••••• I••••••••• M••••••••• L••	State registered	Oct 1, 2024	n/a	yes	SANTA ANA, CA	Current employment
M••••• G••••• A••••••• I•••	Independent wealth	Oct 7, 2019	Feb 7, 2022	no	Costa Mesa, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• G••••• A••••••• I•••	7• S•••••• I••••••••• M••••••••• L••	Feb 7, 2022	Oct 1, 2024	967	Firm change after gap	RIA to state RIA
J•••••• F•••••••• M•••••••••	M••••• G••••• A••••••• I•••	Mar 27, 2020	Oct 7, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
108029:147363:CA:2020-03-27	Mar 27, 2020	Oct 7, 2019	COSTA MESA, CA	Firm change after gap

Relationships

Registered with (5)

→ 7• S•••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Oct 1, 2024 to presentfactForm ADV
→ M••••• G••••• A••••••• I•••Registered adviserregistration: previous registration
Oct 7, 2019 to Feb 7, 2022factForm ADV
→ J•••••• F•••••••• M•••••••••Registered adviserregistration: previous registration
Apr 19, 2006 to Mar 27, 2020factForm ADV
→ F•••• A••••••• T••••

Dated events

Occurred
Feb 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c38910f-5ded-9a66-53ef-7c42092de282
First observed: Aug 15, 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.