DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

N••••• J•••• A•••••••

Advisor at R•• C•••••• M••••••• L••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2015 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•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 26, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jun 6, 2024	n/a	yes	ALBUQUERQUE, NM\|Albuquerque, NM\|MINNEAPOLIS, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	May 9, 2016	May 28, 2024	no	Saint Paul, MN\|Albuquerque, NM\|Saint Paul, MN\|Albuquerque, NM

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	R•• C•••••• M••••••• L••	May 28, 2024	Jun 6, 2024	9	Firm change	Ibd to ibd
T••••••• I••••••••• M••••••••• I•••	U••• B•••••• I••••••••• I•••	May 11, 2016	May 9, 2016

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jan 26, 2015 to Nov 12, 2015factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
May 9, 2016 to May 28, 2024factForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 28, 2016 to May 11, 2016factForm ADV

Dated events

Order

Occurred
28 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 26, 2015
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.