DFX Intelligence

K•••• F• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

K•••• F• D••••••

Advisor at J••• M••••• S••••••••• L••

Petaluma, CA | San Francisco, CA

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Search this name across graphsid dfx:ria:5fb50216-a7e1-5e62-c9e4-5429e35a713e

Data as of Sep 15, 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: 4
Dated events: 0
On other graphs: 0
Observed: Apr 22, 2002 to Sep 15, 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: Aug 21, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jan 18, 2024	n/a	yes	San Francisco, CA\|Petaluma, CA	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Mar 19, 2012	Mar 21, 2025	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|San Rafael, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	J••• M••••• S••••••••• L••	Mar 21, 2025	Jan 18, 2024	-428	Bulk transfer	Ibd to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	J••• M••••• P•••••• W••••• A••••••• L••	Mar 21, 2012

Relationships

Registered with (4)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jan 18, 2024 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Mar 19, 2012 to Mar 21, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Mar 21, 2012factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5fb50216-a7e1-5e62-c9e4-5429e35a713e
First observed: Apr 22, 2002
Last observed: Sep 15, 2026 7 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.