DFX Intelligence

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

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RIA / WealthAdvisor13 years in industry

T••••••• J••••• G••••••

Advisor at R•••••• O•• C•••••• L••

••• Locked

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Search this name across graphsid dfx:ria:05135d13-85c7-b6f9-94c1-9a46f002f7bc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 3, 2013 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: R•••••• O•• C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 3, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• O•• C•••••• L••	Independent wealth	Jun 30, 2026	n/a	yes	Scarborough, ME\|MINNEAPOLIS, MN	Current employment
S••••••• A•••• M••••••••• I•••	Asset manager	Feb 11, 2025	n/a	yes	LAS VEGAS, NV\|Scarborough, ME	Current employment

Relationships

Registered with (2)

→ R•••••• O•• C•••••• L••Registered adviserregistration: current employment
Jun 30, 2026 to presentfactForm ADV
→ S••••••• A•••• M••••••••• I•••Registered adviserregistration: current employment
Feb 11, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05135d13-85c7-b6f9-94c1-9a46f002f7bc
First observed: May 3, 2013
Last observed: Sep 15, 2026 7 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.