DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

J•••• A•••••• S••••

Advisor at O•••• W•••••• I•••

COSTA MESA, CA | Dana Point, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2000 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	Dana Point, CA\|COSTA MESA, CA	Current employment
G••••• J•••• I••••••••• C••••••	Former SEC adviser	Sep 9, 2009	Dec 21, 2013	no	PASADENA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	G••••• J•••• I••••••••• C••••••	Jan 19, 2024	Sep 9, 2009	-5,245	Firm change after gap	Other
G••••• J•••• I••••••••• C••••••	O•••• W•••••• I•••	Dec 21, 2013	Jan 19, 2024

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2000 to Jan 19, 2024factForm ADV
→ G••••• J•••• I••••••••• C••••••Registered adviserregistration: previous registration
Sep 9, 2009 to Dec 21, 2013factForm ADV

Dated events

Occurred
Jan 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 30, 2000
Last observed: Sep 14, 2026 9 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.