DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

J•••• C••••••• G•••••

Advisor at O•••• I••••••••• I•••

Falson Heights, MN | MERIDEN, CT

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Search this name across graphsid dfx:ria:6930a93f-fb15-2cc6-b00e-f65a81891d15

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2014 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 31, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Jul 1, 2016	n/a	yes	MERIDEN, CT\|Falson Heights, MN	Current employment
E•••• N••••••• S••••••••• I•••	Former SEC adviser	Jul 7, 2014	Jul 1, 2016	no	NAPA, CA\|St. Paul, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••• N••••••• S••••••••• I•••	O•••• I••••••••• I•••	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
S••••••••• A•••••• A•••••••• I•••	E•••• N••••••• S••••••••• I•••	Jul 24, 2014	Jul 7, 2014

Relationships

Registered with (3)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Jul 1, 2016 to presentfactForm ADV
→ E•••• N••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 7, 2014 to Jul 1, 2016factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 31, 2014 to Jul 24, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6930a93f-fb15-2cc6-b00e-f65a81891d15
First observed: Jan 31, 2014
Last observed: Sep 15, 2026 7 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.