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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

J•••••••• S•••• L•••••••••

Advisor at E••••• J••••

SANTA MARIA, CA

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Search this name across graphsid dfx:ria:f4de4a3c-2293-6a48-364d-b89e0eff0972

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2011 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 22, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 14derivedfrom 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
E••••• J••••	National bd RIA	Apr 30, 2012	n/a	yes	SANTA MARIA, CA	Current employment
E•••••••• A•••••••• L••	National bd RIA	Sep 28, 2011	Apr 23, 2012	no	CAMARILLO, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, 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
E•••••••• A•••••••• L••	E••••• J••••	Apr 23, 2012	Apr 30, 2012	7	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ E••••• J••••Registered adviserregistration: current employment
Apr 30, 2012 to presentfactForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 28, 2011 to Apr 23, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4de4a3c-2293-6a48-364d-b89e0eff0972
First observed: Sep 28, 2011
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.