DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

J••••••• L•• G••••••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:39f2e4a7-8a5f-7402-eea9-f20a074af994

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2011 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: U••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Oshkosh, WI\|Winneconne, WI\|Saint Paul, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jan 12, 2026	Feb 13, 2026	no	Winneconne, WI\|Oshkosh, WI\|Saint Paul, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
O•••• W•••••• I•••	U••• B•••••• I••••••••• I•••	Dec 31, 2025	Jan 12, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
16443:110518:WI:2018-04-24	Apr 24, 2018	Jul 9, 2018	APPLETON, WI	Firm change
2225:16443:WI:2018-04-23	Apr 24, 2018	Nov 17, 2011	APPLETON, WI	Firm change after gap

Relationships

Registered with (6)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 12, 2026 to Feb 13, 2026factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jun 14, 2024 to Dec 31, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39f2e4a7-8a5f-7402-eea9-f20a074af994
First observed: Nov 16, 2011
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.