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C•••••• M•••••• A•••••• W•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)31 years in industry

C•••••• M•••••• A•••••• W•••

Advisor at J••• M••••• S••••••••• L••

Los Angeles, CA

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:bf01600e-7a34-125a-f33e-85643f47fff8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2014 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 15, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Sep 29, 2023	n/a	yes	Los Angeles, CA	Current employment
P••••••••	Independent wealth	Nov 2, 2016	Jan 2, 2019	no	ENGLEWOOD, NJ\|LOS ANGELES, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••	J••• M••••• S••••••••• L••	Jan 2, 2019	Sep 29, 2023	1,731	Firm change after gap	RIA to wirehouse
C••••••••• W••••• A•••••••• L••	P••••••••	Oct 31, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
143719:151736:CA:2016-10-31	Oct 31, 2016	Nov 2, 2016	CALIFORNIA, CA	Firm change

Relationships

Registered with (3)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Sep 29, 2023 to presentfactForm ADV
→ P••••••••Registered adviserregistration: previous registration
Nov 2, 2016 to Jan 2, 2019factForm ADV
→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 3, 2014 to Oct 31, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf01600e-7a34-125a-f33e-85643f47fff8
First observed: Mar 3, 2014
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.