DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

M•••••• J•••• G•••••••

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

Cleveland, WI | HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 24, 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: Aug 14, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom 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	Sep 20, 2019	n/a	yes	HOUSTON, TX\|Cleveland, WI	Current employment
M••••• S••••••	Wirehouse	Nov 30, 2009	Sep 23, 2019	no	HOUSTON, TX\|Houston, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Sep 23, 2019	Sep 20, 2019	-3	Firm change	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	M••••• S••••••	Dec 10, 2009	Nov 30, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:705:TX:2019-09-23	Sep 23, 2019	Sep 20, 2019	HOUSTON, TX	Firm change

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Sep 20, 2019 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 30, 2009 to Sep 23, 2019factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Mar 24, 2000 to Dec 10, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 24, 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.