DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

B•••••• J••••• W•••••••

Advisor at F•••••••• F•••• L••

CARLSBAD, CA

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Search this name across graphsid dfx:ria:b3add303-6c03-037b-7ad6-753707402abb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 26, 1989 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: F•••••••• F•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom 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
F•••••••• F•••• L••	Independent wealth	Jan 13, 2016	n/a	yes	CARLSBAD, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Jun 13, 2000	Oct 26, 2017	no	CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	F•••••••• F•••• L••	Oct 26, 2017	Jan 13, 2016	-652	Firm change after gap	Other
F•••••••• F••••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Sep 22, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:282177:CA:2017-10-26	Oct 26, 2017	Jan 13, 2016	CARLSBAD, CA	Firm change after gap
134904:29604:CA:2016-09-22	Sep 22, 2016	Jun 13, 2000	CARLSBAD, CA	Firm change after gap

Relationships

Registered with (3)

→ F•••••••• F•••• L••Registered adviserregistration: current employment
Jan 13, 2016 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jun 13, 2000 to Oct 26, 2017factForm ADV
→ F•••••••• F••••Registered adviserregistration: previous registration
May 26, 1989 to Sep 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3add303-6c03-037b-7ad6-753707402abb
First observed: May 26, 1989
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.