DFX Intelligence

E••• E•••••••• R••: advisor on the ria / wealth management graph | DFX Data Factory

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

E••• E•••••••• R••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Bay City, MI | Traverse City, MI

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:4b29fcee-eb9e-cc17-ee43-58ca390f8cf4

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Nov 17, 2025 to Sep 19, 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•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Sep 18, 2026	n/a	yes	Bay City, MI\|Traverse City, MI	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 17, 2025	n/a	yes	BAY CITY, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Sep 17, 2026	Sep 18, 2026	1	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:149018:MI:2026-09-17	Sep 17, 2026	Sep 18, 2026	BAY CITY, MI	Firm change

Relationships

Registered with (2)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Sep 18, 2026 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 17, 2025 to Sep 17, 2026factForm ADV

Dated events

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

Occurred
Sep 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 3 days ago

Show 2 bookkeeping events

Occurred
Sep 18, 2026
••• Locked
First seen by DFX
Sep 18, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b29fcee-eb9e-cc17-ee43-58ca390f8cf4
First observed: Nov 17, 2025
Last observed: Sep 19, 2026 4 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.