DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)36 years in industry

J••• A•••• R•••••••

Advisor at I•• W••••• M••••••••• L••

YUMA, AZ | CHICAGO, IL

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Search this name across graphsid dfx:ria:66e708da-730d-4b7b-2475-f841a290c99c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2003 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: I•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 19, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	Dec 10, 2021	n/a	yes	CHICAGO, IL\|YUMA, AZ	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Feb 3, 2003	Mar 17, 2006	no	SPRING VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• M••••• I••••••••• S•••••••••	I•• W••••• M••••••••• L••	Mar 17, 2006	Dec 10, 2021	5,747	Firm change after gap	Other

Relationships

Registered with (2)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 10, 2021 to presentfactForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Feb 3, 2003 to Mar 17, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66e708da-730d-4b7b-2475-f841a290c99c
First observed: Feb 3, 2003
Last observed: Sep 14, 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.