DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

L••• M•••• T•••••• B••••••

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

El Cerrito, CA | SAN RAFAEL, 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:80515266-fa4c-31a4-9d5b-a9c9e826a789

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2002 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: Oct 1, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jul 19, 2017	n/a	yes	SAN RAFAEL, CA\|El Cerrito, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 29, 2015	Jul 14, 2017	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Jul 14, 2017	Jul 19, 2017	5	Firm change	Wirehouse to ibd
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 5, 2014	Sep 29, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:705:CA:2017-07-03	Jul 14, 2017	Jul 19, 2017	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (4)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Jul 19, 2017 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 29, 2015 to Jul 14, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 23, 2011 to Aug 5, 2014factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80515266-fa4c-31a4-9d5b-a9c9e826a789
First observed: Sep 6, 2002
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.