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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R•••••• J••• R•••••

Advisor at W•••• F•••• A•••••••

SAN JOSE, CA | SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:d0ad1727-1b01-aa32-48d3-c85c3c15779e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 9, 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: W•••• F•••• A•••••••
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: Aug 27, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

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
W•••• F•••• A•••••••	Wirehouse	May 31, 2023	n/a	yes	SAN JOSE, CA\|SANTA CRUZ, CA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jan 26, 2022	May 12, 2023	no

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
C•••••• S••••• • C••• I•••	W•••• F•••• A•••••••	May 12, 2023	May 31, 2023	19	Firm change	Ibd to wirehouse
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Dec 16, 2022

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
May 31, 2023 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jan 26, 2022 to May 12, 2023factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 31, 2017 to Dec 16, 2022factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
May 12, 2023
Advisor changed firm
R•••••• J••• R••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2023-05-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0ad1727-1b01-aa32-48d3-c85c3c15779e
First observed: Sep 9, 1998
Last observed: Sep 15, 2026 7 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.