J••••• L•• B•••

Advisor at P•••••••• S••••••••• I•••

CONCORD, CA | DES MOINES, IA

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:92da9c27-46e3-15b9-04ed-b85094b3009e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 14, 2006 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• S••••••••• I•••	Bd affiliated wealth	Mar 17, 2021	n/a	yes	CONCORD, CA\|DES MOINES, IA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Oct 1, 2010	Jul 11, 2013	no	Martinez, CA\|BRENTWOOD, CA\|CONCORD, CA\|BRENTWOOD, CA\|DISCOVERY BAY, CA\|ANTIOCH, CA\|Dublin, CA\|SAN RAMON, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|DUBLIN, CA\|DUBLIN, CA\|WALNUT CREEK, CA\|DANVILLE, CA\|Lafayette, CA\|SAN RAMON, CA\|SAN RAMON, CA\|SAN RAMON, CA\|DANVILLE, CA\|SAN RAMON, CA\|SAN RAMON, CA\|Lafayette, CA\|Concord, CA\|Concord, CA\|SAN RAMON, CA\|Dublin, CA\|DANVILLE, CA\|DUBLIN, CA\|SAN RAMON, CA\|DUBLIN, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|Concord, CA\|DANVILLE, CA\|Oakland, CA\|SAN RAMON, CA\|OAKLAND, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	P•••••••• S••••••••• I•••	Jul 11, 2013	Mar 17, 2021	2,806	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U••• B•••••• I••••••••• I•••	Sep 30, 2010	Oct 1, 2010

Relationships

Registered with (4)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 17, 2021 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Oct 1, 2010 to Jul 11, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Sep 30, 2010factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92da9c27-46e3-15b9-04ed-b85094b3009e
First observed: Dec 14, 2006
Last observed: Sep 15, 2026 8 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.