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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant32 years in industry

JAMES PAUL ESTES

Advisor at DESERT WEALTH MANAGEMENT LLC

PALM DESERT, CA

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Search this name across graphsid dfx:ria:9f4f9161-6775-5759-8bee-5db17cfc2f04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2005 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: DESERT WEALTH MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 8, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63|S65
First exam: Jul 8, 1994
First registration: Mar 24, 2005
Dual registered: no
IAPD individual key: 2484236

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DESERT WEALTH MANAGEMENT LLC	State registered	May 22, 2018	n/a	yes	PALM DESERT, CA	Current employment
ALPHA WEALTH MANAGEMENT, LLC	Former SEC adviser	Jul 22, 2011	May 17, 2018	no	SAN JACINTO, CA	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Mar 17, 2010	Jul 27, 2011	no	INDIAN WELLS, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 24, 2005	Nov 28, 2005	no	PALM DESERT, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALPHA WEALTH MANAGEMENT, LLC	DESERT WEALTH MANAGEMENT LLC	May 17, 2018	May 22, 2018	5	Firm change	Other
WEDBUSH SECURITIES INC.	ALPHA WEALTH MANAGEMENT, LLC	Jul 27, 2011	Jul 22, 2011	-5	Firm change	Other
STRATEGIC ADVISERS LLC	WEDBUSH SECURITIES INC.	Nov 28, 2005	Mar 17, 2010	1,570	Firm change after gap	Other

Relationships

Registered with (4)

→ DESERT WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
May 22, 2018 to presentfactForm ADV
→ ALPHA WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 22, 2011 to May 17, 2018factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Mar 17, 2010 to Jul 27, 2011factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 24, 2005 to Nov 28, 2005factForm ADV

Dated events

No dated event names this entity yet.