DFX Intelligence

Data Factory

I•••••• R• C••••••••: 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)15 years in industry

I•••••• R• C••••••••

Advisor at J••• M••••• S••••••••• L••

GILROY, 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:64ae7dd1-d320-15f5-2ec4-f4ce4609833f

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 3
On other graphs: 0
Observed: Mar 14, 2022 to Sep 19, 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

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
J••• M••••• S••••••••• L••	Wirehouse	Sep 18, 2026	n/a	yes	GILROY, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 14, 2022	n/a	yes	HOLLISTER, CA\|GILROY, CA

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	J••• M••••• S••••••••• L••	Sep 17, 2026	Sep 18, 2026	1	Firm change	Wirehouse to wirehouse

Relationships

Registered with (1)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Mar 14, 2022 to presentfactForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 17, 2026
Advisor changed firm
I•••••• R• C•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2026-09-18)
Form ADVobserved 2 days ago

Show 2 bookkeeping events

Occurred
Sep 18, 2026
I•••••• R• C•••••••• registered as an investment adviser representative at J••• M••••• S••••••••• L••
First seen by DFX
Sep 18, 2026
date not stated
I•••••• R• C•••••••• no longer holds an investment adviser registration (last listed at M•••••• L••••• P•••••• F••••• • S•••• I••••••••• on the 2026-09-17 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64ae7dd1-d320-15f5-2ec4-f4ce4609833f
First observed: Mar 14, 2022
Last observed: Sep 19, 2026 2 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.