DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

J•••• S•••• C•••••

Advisor at A•••• W••••• M••••••••• A•• P••••••• L••

NOVATO, CA | Corte Madera, 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, 4:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 7, 1999 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: A•••• W••••• M••••••••• A•• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 22, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• M••••••••• A•• P••••••• L••	Independent wealth	Nov 16, 2023	n/a	yes	Corte Madera, CA\|NOVATO, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Jan 27, 2010	no	MENLO PARK, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A•••• W••••• M••••••••• A•• P••••••• L••	Jan 27, 2010	Nov 16, 2023	5,041	Firm change after gap	Wirehouse to RIA
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (6)

→ A•••• W••••• M••••••••• A•• P••••••• L••Registered adviserregistration: current employment
Nov 16, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jan 27, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Jul 29, 2008 to Jun 1, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 7, 1999
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.