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D••••• J••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

D••••• J••••• G•••••

Advisor at U•• F•••••••• S••••••• I•••

WALNUT CREEK, 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:5ebfb19d-a29b-f1e4-1553-1f60ee3d1d29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 15, 2001 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

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
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 29, 2021	n/a	yes	WALNUT CREEK, CA	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Jan 15, 2013	Feb 1, 2021	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••••• P•••••• W••••• A••••••• L••	U•• F•••••••• S••••••• I•••	Feb 1, 2021	Jan 29, 2021	-3	Firm change	Ibd to wirehouse
A••••• F•••••••• G••••• L••	J••• M••••• P•••••• W••••• A••••••• L••	Dec 21, 2012

Team moves

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

Team	Left	Joined	From	Kind
108559:8174:CA:2021-02-01	Feb 1, 2021	Jan 29, 2021	WALNUT CREEK, CA	Firm change

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jan 29, 2021 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Jan 15, 2013 to Feb 1, 2021factForm ADV
→ A••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Mar 14, 2008 to Dec 21, 2012factForm ADV
→ W•••• F•••• I••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ebfb19d-a29b-f1e4-1553-1f60ee3d1d29
First observed: May 15, 2001
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.