DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

J••••• A••••• Z••••••

Advisor at P••••••••• S••••••••• C•••••••••

SAN LEANDRO, CA | Carpinteria, CA

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Search this name across graphsid dfx:ria:f93c0e77-041d-d77d-9040-20bf413d6d9c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 11, 2008 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: P••••••••• S••••••••• C•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• S••••••••• C•••••••••	Independent wealth	Oct 7, 2013	n/a	yes	Carpinteria, CA\|SAN LEANDRO, CA	Current employment
V•••••••• F••••••••• L••	Former SEC adviser	Oct 25, 2012	Oct 7, 2013	no	SAN LEANDRO, CA\|AUSTIN, TX\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•••••••• F••••••••• L••	P••••••••• S••••••••• C•••••••••	Oct 7, 2013	Oct 7, 2013	0	Firm change	Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	V•••••••• F••••••••• L••	Oct 29, 2012	Oct 25, 2012

Relationships

Registered with (5)

→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: current employment
Oct 7, 2013 to presentfactForm ADV
→ V•••••••• F••••••••• L••Registered adviserregistration: previous registration
Oct 25, 2012 to Oct 7, 2013factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Aug 5, 2009 to Oct 29, 2012factForm ADV
→ F•••••••• W••• G••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f93c0e77-041d-d77d-9040-20bf413d6d9c
First observed: Aug 11, 2008
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.