DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

M••••• ••••• Y••••• Y•••••

Advisor at J• W• C••• A•••••••• I•••

CARLSBAD, CA | TAMPA, FL

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Search this name across graphsid dfx:ria:c3ed4007-fa21-99aa-0243-8b24b36ada87

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 26, 1999 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: J• W• C••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J• W• C••• A•••••••• I•••	Bd affiliated wealth	May 10, 2013	n/a	yes	TAMPA, FL\|CARLSBAD, CA	Current employment
F•••••••• A••••••• O• A••••••• L••	Former SEC adviser	Oct 26, 2007	May 10, 2013	no	CARLSBAD, CA\|CARLSBAD, CA\|SAN DIEGO, CA\|CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A••••••• O• A••••••• L••	J• W• C••• A•••••••• I•••	May 10, 2013	May 10, 2013	0	Bulk transfer	Other
G••••• S••••••••• I•••	F•••••••• A••••••• O• A••••••• L••	Oct 29, 2007	Oct 26, 2007

Relationships

Registered with (4)

→ J• W• C••• A•••••••• I•••Registered adviserregistration: current employment
May 10, 2013 to presentfactForm ADV
→ F•••••••• A••••••• O• A••••••• L••Registered adviserregistration: previous registration
Oct 26, 2007 to May 10, 2013factForm ADV
→ G••••• S••••••••• I•••Registered adviserregistration: previous registration
Aug 28, 2003 to Oct 29, 2007factForm ADV
→ S••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3ed4007-fa21-99aa-0243-8b24b36ada87
First observed: Apr 26, 1999
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.