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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

C••• J•••• P•••••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:a5b1facb-023a-85be-aaaa-ed3644c4c627

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2015 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 19, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jul 8, 2021	n/a	yes	NEWPORT BEACH, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 26, 2015	Jul 12, 2021	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Jul 12, 2021	Jul 8, 2021	-4	Firm change	Wirehouse to ibd
O•••• F•• I•••	W•••• F•••• A•••••••	Jan 22, 2015	Jan 26, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:793:CA:2021-06-28	Jul 12, 2021	Jul 8, 2021	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jul 8, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 26, 2015 to Jul 12, 2021factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Jan 7, 2015 to Jan 22, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5b1facb-023a-85be-aaaa-ed3644c4c627
First observed: Jan 7, 2015
Last observed: Sep 14, 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.