DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

R••• L•••• S••••••

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

Dana Point, CA

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Search this name across graphsid dfx:ria:83b7aee4-aad0-14c2-bb5c-562177980675

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2001 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 5, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 13derivedfrom 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	Oct 4, 2012	n/a	yes	Dana Point, CA	Current employment
M••••• K••••• • C••••••• L••	Former SEC adviser	Jul 11, 2003	Mar 14, 2013	no	MEMPHIS, TN\|MEMPHIS, TN\|LAGUNA NIGUEL, CA\|LAGUNA NIGUEL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• K••••• • C••••••• L••	R•••••• J•••• • A••••••••• I•••	Mar 14, 2013	Oct 4, 2012	-161	Bulk transfer	Other
R•••••• I••••••••• M••••••••• I•••	M••••• K••••• • C••••••• L••	Dec 31, 2008	Jul 11, 2003

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Oct 4, 2012 to presentfactForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
Jul 11, 2003 to Mar 14, 2013factForm ADV
→ R•••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Jul 16, 2001 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:83b7aee4-aad0-14c2-bb5c-562177980675
First observed: Jul 16, 2001
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.