DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••••••• M• J••••

Advisor at T••••••• I••••••••• M••••••••• I•••

Harbor City, CA | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:f7851a31-52d9-701b-1fd2-d8c1aff3e1af

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 5
On other graphs: 0
Observed: Dec 9, 2025 to Sep 19, 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: T••••••• I••••••••• M••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••• I••••••••• M••••••••• I•••	Bd affiliated wealth	Sep 8, 2026	n/a	yes	Harbor City, CA\|MINNEAPOLIS, MN	Current employment
F•••• C•••••• A••••••• S•••••••	Bd affiliated wealth	Dec 9, 2025	Mar 24, 2026	no	Garden Grove, CA\|FORT WORTH, TX\|Harbor City, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• C•••••• A••••••• S•••••••	T••••••• I••••••••• M••••••••• I•••	Mar 24, 2026	Sep 8, 2026	168	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ F•••• C•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Dec 9, 2025 to Mar 24, 2026factForm ADV

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 24, 2026
Advisor changed firm
S•••••••• M• J•••• left F•••• C•••••• A••••••• S••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-09-08)
Form ADVobserved 7 days ago

Show 4 bookkeeping events

Occurred
Sep 18, 2026
S•••••••• M• J•••• added a DC registration at T••••••• I••••••••• M••••••••• I•••
Occurred
Sep 15, 2026
S•••••••• M• J•••• added a OK registration at T••••••• I••••••••• M••••••••• I•••
Occurred
Sep 15, 2026
S•••••••• M• J•••• added a TX registration at T••••••• I••••••••• M••••••••• I•••
Occurred
Sep 8, 2026
S•••••••• M• J•••• added a CA registration at T••••••• I••••••••• M••••••••• I•••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7851a31-52d9-701b-1fd2-d8c1aff3e1af
First observed: Dec 9, 2025
Last observed: Sep 19, 2026 3 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.