DFX Intelligence

Data Factory

J•••••••• S•••• A•••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

J•••••••• S•••• A•••

Advisor at M••••• S••••••

Long Beach, CA | Brea, 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:60a0d671-719f-8e33-d091-52fe9c9697e1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Nov 19, 2013 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: M••••• S••••••
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: May 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

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
M••••• S••••••	Wirehouse	May 25, 2023	n/a	yes	Brea, CA\|Long Beach, CA	Current employment
A••••••• I••••••••• A•••••••• L••	I•••••••••_WEALTH	Sep 15, 2022	May 25, 2023	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
A••••••• I••••••••• A•••••••• L••	M••••• S••••••	May 25, 2023	May 25, 2023	0	Firm change	RIA to wirehouse
G••••• S•••• E••••• A•••••••• L••	A••••••• I••••••••• A•••••••• L••	Sep 20, 2022

Team moves

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

Team	Left	Joined	From	Kind
289796:322879:CA:2022-09-20	Sep 20, 2022	Sep 15, 2022	SOUTH COAST METRO, CA	Firm change
19616:7691:MN:2018-08-27	Sep 11, 2018	Sep 10, 2018	MINNEAPOLIS, MN	Firm change

Relationships

Registered with (5)

→ M••••• S••••••Registered adviserregistration: current employment
May 25, 2023 to presentfactForm ADV
→ A••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 15, 2022 to May 25, 2023factForm ADV
→ G••••• S•••• E••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 9, 2022 to Sep 20, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
May 25, 2023
Advisor changed firm
J•••••••• S•••• A••• left A••••••• I••••••••• A•••••••• L•• for M••••• S•••••• (registered 2023-05-25)
Form ADVobserved 7 days ago
Occurred
Sep 20, 2022
Advisor changed firm
J•••••••• S•••• A••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-15)
Form ADVobserved 7 days ago
Occurred
Sep 16, 2022
Advisor changed firm
J•••••••• S•••• A••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for G••••• S•••• E••••• A•••••••• L•• (registered 2022-09-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60a0d671-719f-8e33-d091-52fe9c9697e1
First observed: Nov 19, 2013
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.