DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner31 years in industry

J••••• R•••••• W••••••

Advisor at A•••••••• F•••••••• A•••••••• L••

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:ad378461-2e77-a636-878c-90557256dd91

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 3, 1998 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•••••••• F•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 7, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• F•••••••• A•••••••• L••	Independent wealth	May 18, 2016	n/a	yes	SANTA BARBARA, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Dec 7, 2010	Jun 21, 2016	no	SANTA BARBARA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A•••••••• F•••••••• A•••••••• L••	Jun 21, 2016	May 18, 2016	-34	Firm change after gap	Wirehouse to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Dec 9, 2010	Dec 7, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
11025:283288:CA:2016-06-21	Jun 21, 2016	May 18, 2016	SANTA BARBARA, CA	Firm change after gap

Relationships

Registered with (3)

→ A•••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
May 18, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 7, 2010 to Jun 21, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 3, 1998 to Dec 9, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad378461-2e77-a636-878c-90557256dd91
First observed: Aug 3, 1998
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.