DFX Intelligence

J•••••• N• E••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Planner29 years in industry

J•••••• N• E••••••••

Advisor at S•• I••••••••• C•••••• I•••

LOS ANGELES, 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:fe69628a-b1b1-2573-4452-c48a7561e25a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 12, 2002 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: S•• I••••••••• C•••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 7, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• I••••••••• C•••••• I•••	Independent wealth	Dec 8, 2025	n/a	yes	LOS ANGELES, CA	Current employment
F•••• F••••••••• A•••••••	Independent wealth	Nov 20, 2015	Mar 19, 2025	no	LOS ANGLELES, CA\|JONESBOROUGH, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• F••••••••• A•••••••	S•• I••••••••• C•••••• I•••	Mar 19, 2025	Dec 8, 2025	264	Firm change	RIA to RIA
R•• S••••••••• I•••	F•••• F••••••••• A•••••••	Oct 30, 2015	Nov 20, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
103705:106075:CA:2015-10-30	Oct 30, 2015	Nov 20, 2015	LOS ANGELES, CA	Firm change

Relationships

Registered with (6)

→ S•• I••••••••• C•••••• I•••Registered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ F•••• F••••••••• A•••••••Registered adviserregistration: previous registration
Nov 20, 2015 to Mar 19, 2025factForm ADV
→ R•• S••••••••• I•••Registered adviserregistration: previous registration
Mar 22, 2011 to Oct 30, 2015factForm ADV
→ E•••••• A•••• A••••••• L••

Dated events

Occurred
Mar 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe69628a-b1b1-2573-4452-c48a7561e25a
First observed: Feb 12, 2002
Last observed: Sep 14, 2026 9 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.