DFX Intelligence

R••••• G•••• J•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R••••• G•••• J•••••

Advisor at M••••• S••••••

Thousand Oaks, CA | Westlake Village, CA

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:abd48d72-a562-827a-76b0-68779c8c0a27

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 1, 1996 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 27, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jun 1, 2009	n/a	yes	Thousand Oaks, CA\|Westlake Village, CA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Aug 11, 2006	Jun 1, 2009	no	WOODLAND HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
U•• F•••••••• S••••••• I•••	C•••••••• G••••• M•••••• I•••	Aug 25, 2006	Aug 11, 2006

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Aug 11, 2006 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 1, 1996 to Aug 25, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abd48d72-a562-827a-76b0-68779c8c0a27
First observed: Jul 1, 1996
Last observed: Sep 15, 2026 7 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.