DFX Intelligence

D•••• M•••••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

D•••• M•••••••• L••••

Advisor at R•••••• J•••• • A••••••••• I•••

Tempe, AZ | San Jose, CA

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Search this name across graphsid dfx:ria:6fee26d8-7a0f-31e4-2795-646253f6faf5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2001 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 28, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jan 24, 2011	n/a	yes	San Jose, CA\|Tempe, AZ	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Jan 25, 2011	no	SAN JOSE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	Jan 25, 2011	Jan 24, 2011	-1	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Jan 24, 2011 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Jan 25, 2011factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Mar 29, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fee26d8-7a0f-31e4-2795-646253f6faf5
First observed: Mar 29, 2001
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.