DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••• J•••• S••••••••

Advisor at S••••• F••••••••• L••

Newport Beach, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 1, 2023 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: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jul 2, 2025	n/a	yes	Newport Beach, CA	Current employment
C•••••• C•••••• P•••••••	Former SEC adviser	Apr 1, 2023	Sep 30, 2025	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• C•••••• P•••••••	S••••• F••••••••• L••	Sep 30, 2025	Jul 2, 2025	-90	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
129898:299322:CA:2025-09-30	Sep 30, 2025	Jul 2, 2025	NEWPORT BEACH, CA	Firm change after gap

Relationships

Registered with (2)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jul 2, 2025 to presentfactForm ADV
→ C•••••• C•••••• P•••••••Registered adviserregistration: previous registration
Apr 1, 2023 to Sep 30, 2025factForm ADV

Dated events

Order

Occurred
30 Sep 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 1, 2023
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.