DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

N••••••• P•••••• P•••••

Advisor at J••• M••••• S••••••••• L••

COSTA MESA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 5, 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 21, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jan 31, 2024	n/a	yes	COSTA MESA, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jan 26, 2022	Jan 9, 2024	no	Long Beach, CA\|Seal Beach, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	J••• M••••• S••••••••• L••	Jan 9, 2024	Jan 31, 2024	22	Firm change	Ibd to wirehouse
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2023	Jan 26, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
5393:79:CA:2024-01-08	Jan 9, 2024	Jan 31, 2024	SEAL BEACH, CA	Firm change
7691:7870:CA:2015-10-12	Oct 26, 2015	Nov 3, 2015	ROLLING HILLS ESTATES, CA	Firm change

Relationships

Registered with (5)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jan 31, 2024 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 26, 2022 to Jan 9, 2024factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 3, 2015 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••

Dated events

Order

Occurred
9 Jan 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 5, 2015
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.