DFX Intelligence

J•••• M•••••• S•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

J•••• M•••••• S•••

Advisor at L•• F•••••••• L••

CARLSBAD, CA

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Search this name across graphsid dfx:ria:b13db6ec-e157-79a3-b954-41082cdfa3c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2001 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jan 8, 2025	n/a	yes	CARLSBAD, CA	Current employment
C••••• C•••••• G••••	Independent wealth	Sep 16, 2019	Apr 30, 2020	no	ENCINITAS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• C•••••• G••••	L•• F•••••••• L••	Apr 30, 2020	Jan 8, 2025	1,714	Firm change after gap	RIA to ibd
C•••••• C••••• G••••• I•••	C••••• C•••••• G••••	Sep 28, 2018	Sep 16, 2019

Relationships

Registered with (7)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 8, 2025 to presentfactForm ADV
→ C••••• C•••••• G••••Registered adviserregistration: previous registration
Sep 16, 2019 to Apr 30, 2020factForm ADV
→ C•••••• C••••• G••••• I•••Registered adviserregistration: previous registration
Jun 7, 2013 to Sep 28, 2018factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b13db6ec-e157-79a3-b954-41082cdfa3c4
First observed: Dec 5, 2001
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.