S••••• L•

Advisor at E••••• J••••

CHINO HILLS, 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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 28, 2016 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 9, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	May 9, 2025	n/a	yes	CHINO HILLS, CA	Current employment
T••••••••• A•••••••• L••	Independent wealth	Mar 19, 2018	May 15, 2025	no	MONROVIA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• A•••••••• L••	E••••• J••••	May 15, 2025	May 9, 2025	-6	Firm change	RIA to ibd
O••••••••• S••••••••• I•••	T••••••••• A•••••••• L••	Jan 17, 2018	Mar 19, 2018

Relationships

Registered with (3)

→ E••••• J••••Registered adviserregistration: current employment
May 9, 2025 to presentfactForm ADV
→ T••••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 19, 2018 to May 15, 2025factForm ADV
→ O••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 28, 2016 to Jan 17, 2018factForm ADV

Dated events

Order

Occurred
15 May 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 28, 2016
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.