DFX Intelligence

L••• M••••••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

L••• M••••••• B•••••••

Advisor at J•••••••• I••••••••• A••••••• L••

Chicago, IL | NEW YORK, NY

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Search this name across graphsid dfx:ria:28f14a9d-4609-530b-9128-2349db7b5a43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 13, 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: J•••••••• I••••••••• A••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jun 16, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J•••••••• I••••••••• A••••••• L••	Mixed wealth	May 24, 2023	n/a	yes	NEW YORK, NY\|Chicago, IL	Current employment
L••••••• A•••• M••••••••• L••	Asset manager	Dec 6, 2013	Aug 14, 2023	no	CHICAGO, IL\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• A•••• M••••••••• L••	J•••••••• I••••••••• A••••••• L••	Aug 14, 2023	May 24, 2023	-82	Bulk transfer	RIA to new firm
C••••• S••••• S••••••••• •••• L••	L••••••• A•••• M••••••••• L••	Dec 19, 2013	Dec 6, 2013

Relationships

Registered with (7)

→ J•••••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
May 24, 2023 to presentfactForm ADV
→ L••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Dec 6, 2013 to Aug 14, 2023factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Mar 14, 2013 to Dec 19, 2013factForm ADV
→ D••••••• B••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28f14a9d-4609-530b-9128-2349db7b5a43
First observed: Feb 13, 2002
Last observed: Sep 14, 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.