DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

J••• M•••••• G•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

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:ebe01f59-2512-880a-14aa-bbd10c79f2ee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2004 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 5, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 2, 2021	n/a	yes	Carson, CA\|Santa Ana, CA\|Inglewood, CA\|Torrance, CA\|Orange, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Oct 3, 2016	Aug 2, 2021	no	Los Angeles, CA\|Carson, CA\|Inglewood, CA\|Carson, CA\|Torrance, CA\|Los Angeles, CA\|SAN DIEGO, CA\|Inglewood, CA\|Los Angeles, CA\|Torrance, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	A••••••••• F•••••••• S•••••••• L••	Aug 2, 2021	Aug 2, 2021	0	Firm change	Ibd to ibd
L•• F•••••••• L••	C••• F•••••••• S•••••••• L•••	Oct 7, 2016	Oct 3, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
42132:6363:CA:2021-08-02	Aug 2, 2021	Aug 2, 2021	TORRANCE, CA	Firm change
6413:42132:CA:2016-10-07	Oct 7, 2016	Oct 3, 2016	LOS ANGELES, CA	Firm change

Relationships

Registered with (7)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 2, 2021 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 3, 2016 to Aug 2, 2021factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 15, 2014 to Oct 7, 2016factForm ADV
→ U••• B•••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebe01f59-2512-880a-14aa-bbd10c79f2ee
First observed: Jan 20, 2004
Last observed: Sep 15, 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.