DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

A••• F•••••

Advisor at J••• M••••• S••••••••• L••

ARROYO GRANDE, 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, 4:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 11, 2003 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 public••• Locked
Industry start: Sep 5, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	n/a	yes	ARROYO GRANDE, CA	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	Apr 12, 2010	Oct 1, 2012	no	ARROYO GRANDE, CA\|SAN LUIS OBISPO, CA\|ATASCADERO, CA\|PASO ROBLES, CA\|GROVER BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
V••••• F••••••••• L••	C•••• I••••••••• S••••••• C••••	Apr 14, 2010	Apr 12, 2010

Relationships

Registered with (4)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Oct 1, 2012 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Apr 12, 2010 to Oct 1, 2012factForm ADV
→ V••••• F••••••••• L••Registered adviserregistration: previous registration
Feb 16, 2010 to Apr 14, 2010factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 11, 2003
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.