DFX Intelligence

D•••••• L•• C•••••: 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 / WealthAdvisordual registered (broker-dealer)35 years in industry

D•••••• L•• C•••••

Advisor at R•••••• J•••• • A••••••••• I•••

FREDERICKSBURG, VA

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:1cb8e305-8b55-935e-b55b-fd4710fa8b90

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2000 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 11, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Oct 25, 2006	n/a	yes	FREDERICKSBURG, VA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Feb 21, 2006	Oct 30, 2006	no	FREDERICKSBURG, VA\|NEW YORK, NY\|FREDERICKSBURG, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	R•••••• J•••• • A••••••••• I•••	Oct 30, 2006	Oct 25, 2006	-5	Firm change	Other
L••• M•••• W••• W•••••• I•••••••••	C•••••••• G••••• M•••••• I•••	Feb 21, 2006	Feb 21, 2006

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Oct 25, 2006 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Feb 21, 2006 to Oct 30, 2006factForm ADV
→ L••• M•••• W••• W•••••• I•••••••••Registered adviserregistration: previous registration
Jun 6, 2000 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cb8e305-8b55-935e-b55b-fd4710fa8b90
First observed: Jun 6, 2000
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.