DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

J•••• R••• C••••

Advisor at S••••••••• C••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:b8b81d38-37e4-2a98-a750-a4f286123706

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 3, 1998 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: S••••••••• C••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 18, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• C••••••• I•••	Independent wealth	Jan 2, 2026	n/a	yes	Flushing, NY\|San Diego, CA\|Brea, CA	Current employment
S• A•••••••• L••	Independent wealth	Mar 27, 2017	Jul 29, 2020	no	San Diago, CA\|ATLANTA, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S• A•••••••• L••	S••••••••• C••••••• I•••	Jul 29, 2020	Jan 2, 2026	1,983	Firm change after gap	RIA to RIA
G••••• S••••••••• I•••	S• A•••••••• L••	Jun 8, 2015	Mar 27, 2017

Relationships

Registered with (4)

→ S••••••••• C••••••• I•••Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ S• A•••••••• L••Registered adviserregistration: previous registration
Mar 27, 2017 to Jul 29, 2020factForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 4, 2010 to Jun 8, 2015factForm ADV
→ P•••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8b81d38-37e4-2a98-a750-a4f286123706
First observed: Mar 3, 1998
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.