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

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RIA / WealthAdvisor26 years in industry

J•••• R••••• O••••••

Advisor at A•••••• F••••• O•••••

SANTA MONICA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ddf18d98-716a-f965-edc8-cc673f56f257

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 15, 2001 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: A•••••• F••••• O•••••
Current firm class: bank affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 12, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

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
A•••••• F••••• O•••••	Bank affiliated wealth	Jun 3, 2026	n/a	yes	SANTA MONICA, CA	Current employment
X• C•••••• L••	Former SEC adviser	Jan 11, 2022	Jun 16, 2026	no	LOS A••••••, CA

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
X• C•••••• L••	A•••••• F••••• O•••••	Jun 16, 2026	Jun 3, 2026	-13	Firm change	RIA to RIA
W•••• F•••• I••••••••• L••	X• C•••••• L••	May 29, 2007

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
316320:338266:CA:2026-06-16	Jun 16, 2026	Jun 3, 2026	LOS A••••••, CA	Firm change

Relationships

Registered with (3)

→ A•••••• F••••• O•••••Registered adviserregistration: current employment
Jun 3, 2026 to presentfactForm ADV
→ X• C•••••• L••Registered adviserregistration: previous registration
Jan 11, 2022 to Jun 16, 2026factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
May 15, 2001 to May 29, 2007factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
J•••• R••••• O•••••• left X• C•••••• L•• for A•••••• F••••• O••••• (registered 2026-06-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ddf18d98-716a-f965-edc8-cc673f56f257
First observed: May 15, 2001
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.