DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

L•••• W•••• J••••••

Advisor at A••••• F•••••••• P•••••••• I•••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 24, 1998 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: A••••• F•••••••• P•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 8, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• F•••••••• P•••••••• I•••	Independent wealth	Aug 1, 2019	n/a	yes	ST. CHARLES, IL\|NAPLES, FL\|DOWNERS GROVE, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 8, 2009	Feb 20, 2015	no	DOWNERS GROVE, IL\|ITASCA, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• A••••••• S•••••••• I•••	W••••••••• F•••••••• G••••• I•••	Jan 12, 2021	Jan 2, 2004	-6,220	Firm change after gap	Other
L•• F•••••••• L••	A••••• F•••••••• P•••••••• I•••	Feb 20, 2015	Aug 1, 2019

Relationships

Registered with (6)

→ A••••• F•••••••• P•••••••• I•••Registered adviserregistration: current employment
Aug 1, 2019 to presentfactForm ADV
→ S••••••• F•••••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 12, 1998 to Jan 12, 2021factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to Feb 20, 2015factForm ADV
→ W••••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 24, 1998
Last observed: Sep 15, 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.