DFX Intelligence

G•••••• S• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

G•••••• S• F•••••

Advisor at J••• M••••• S••••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:5b6b11d5-6434-bc7f-a2aa-1d3dd0a96f5e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 11, 2001 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 11, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Nov 30, 2018	n/a	yes	Wheaton, IL\|chicago, IL\|New York, NY	Current employment
T• A•••• M••••••••• L••	Independent wealth	Nov 7, 2017	Oct 9, 2018	no	NAPERVILLE, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A•••• M••••••••• L••	J••• M••••• S••••••••• L••	Oct 9, 2018	Nov 30, 2018	52	Firm change	RIA to wirehouse
C•••••• W••••• M••••••••• L••	T• A•••• M••••••••• L••	Nov 16, 2017	Nov 7, 2017

Relationships

Registered with (7)

→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2004 to Aug 24, 2009factForm ADV
→ T• A•••• M••••••••• L••Registered adviserregistration: previous registration
Nov 7, 2017 to Oct 9, 2018factForm ADV
→ C•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 13, 2014 to Nov 16, 2017factForm ADV
→ L•••••• S••••• C•••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b6b11d5-6434-bc7f-a2aa-1d3dd0a96f5e
First observed: Sep 11, 2001
Last observed: Sep 15, 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.