DFX Intelligence

D•••• B•••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

D•••• B•••• G••••

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

Chicago, IL | NEW YORK, NY

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Search this name across graphsid dfx:ria:4747228e-7194-ee19-9d5c-4a9b63640883

Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jul 7, 2005 to Sep 22, 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: Oct 5, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J•••••••• I••••••••• A••••••• L••	Mixed wealth	Jun 2, 2023	n/a	yes	Chicago, IL\|NEW YORK, NY	Current employment
L••••••• A•••• M••••••••• L••	Asset manager	Mar 23, 2011	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	Jun 2, 2023	-73	Bulk transfer	RIA to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L••••••• A•••• M••••••••• L••	Mar 10, 2011	Mar 23, 2011

Relationships

Registered with (4)

→ J•••••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 2, 2023 to presentfactForm ADV
→ L••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Mar 23, 2011 to Aug 14, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Mar 10, 2011factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Show 3 bookkeeping events

Occurred
Sep 21, 2026
D•••• B•••• G•••• added a MN registration at J•••••••• I••••••••• A••••••• L••
Occurred
Sep 21, 2026
D•••• B•••• G•••• added a OH registration at J•••••••• I••••••••• A••••••• L••
Occurred
Sep 21, 2026
D•••• B•••• G•••• added a VA registration at J•••••••• I••••••••• A••••••• L••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4747228e-7194-ee19-9d5c-4a9b63640883
First observed: Jul 7, 2005
Last observed: Sep 22, 2026 13 h 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.