DFX Intelligence

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

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

C••••••••• J••••• L•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

ROSEVILLE, CA

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Search this name across graphsid dfx:ria:c6e508c9-a67a-80b7-f7bd-14785dcedcc0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2007 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 12, 2021	n/a	yes	ROSEVILLE, CA	Current employment
B•••••••• I••••••••• M••••••••• L••	Asset manager	Dec 20, 2010	Aug 16, 2021	no	PRINCETON, NJ\|PRINCETON, NJ\|San Francisco, CA\|Chicago, IL\|PRINCETON, NJ\|Los Angeles, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• I••••••••• M••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 16, 2021	Aug 12, 2021	-4	Firm change	Other
L•••••• F•••••••• D••••••••• I•••	B•••••••• I••••••••• M••••••••• L••	Feb 9, 2009	Dec 20, 2010

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Aug 12, 2021 to presentfactForm ADV
→ B•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 20, 2010 to Aug 16, 2021factForm ADV
→ L•••••• F•••••••• D••••••••• I•••Registered adviserregistration: previous registration
Oct 23, 2007 to Feb 9, 2009factForm ADV
→ M•••• F•••••••• P•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6e508c9-a67a-80b7-f7bd-14785dcedcc0
First observed: Feb 16, 2007
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.