DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

J•••• L•• L••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:78a25146-3b67-b923-cf13-43a86149fec3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 18, 2007 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 11, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 14, 2022	n/a	yes	Rocklin, CA\|Rocklin, CA\|Chester, CA\|Alturas, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Mar 1, 2019	Nov 16, 2022	no	CHESTER, CA\|ROCKLIN, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Nov 16, 2022	Nov 14, 2022	-2	Firm change	Ibd to ibd
Q•••••• A•••• M••••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Mar 1, 2019	Mar 1, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
421:134139:CA:2022-11-16	Nov 16, 2022	Nov 14, 2022	ROCKLIN, CA	Firm change

Relationships

Registered with (6)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 14, 2022 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2019 to Nov 16, 2022factForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Aug 29, 2012 to Mar 1, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Nov 16, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78a25146-3b67-b923-cf13-43a86149fec3
First observed: Jan 18, 2007
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.