J••••••• M•••••

Advisor at C••••••••• W•••••• L••

LOS ANGELES, CA | SEATTLE, WA

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:aef8a20b-004e-11fc-8936-7ec6e68f0ce7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2007 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: C••••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W•••••• L••	Independent wealth	Jul 28, 2025	n/a	yes	SEATTLE, WA\|LOS ANGELES, CA	Current employment
S•••••••• A••••••• L••	National bd RIA	Jan 19, 2016	Jun 20, 2017	no	CAMPBELL, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	C••••••••• W•••••• L••	Jun 20, 2017	Jul 28, 2025	2,960	Firm change after gap	Ibd to RIA
C•••••• S••••• • C••• I•••	S•••••••• A••••••• L••	Jan 4, 2016	Jan 19, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
5393:104555:CA:2015-12-23	Jan 4, 2016	Jan 19, 2016	MILPITAS, CA	Firm change

Relationships

Registered with (4)

→ C••••••••• W•••••• L••Registered adviserregistration: current employment
Jul 28, 2025 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 19, 2016 to Jun 20, 2017factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Oct 15, 2009 to Jan 4, 2016factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aef8a20b-004e-11fc-8936-7ec6e68f0ce7
First observed: Jan 18, 2007
Last observed: Sep 15, 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.