DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

R••••• G•••• R••

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

MONTGOMERY, AL

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Search this name across graphsid dfx:ria:6e6a5756-4577-3aed-6cf4-a59382288169

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 14, 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: Nov 7, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Aug 4, 2020	n/a	yes	MONTGOMERY, AL	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 18, 2005	Aug 4, 2020	no	MONTGOMERY, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|BIRMINGHAM, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|BIRMINGHAM, AL\|MONTGOMERY, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|PRATTVILLE, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|MONTGOMERY, AL\|WETUMPKA, AL\|MONTGOMERY, AL\|MONTGOMERY, AL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	Aug 4, 2020	Aug 4, 2020	0	Firm change	Wirehouse to ibd
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Aug 18, 2005	Aug 18, 2005

Relationships

Registered with (6)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Aug 4, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 18, 2005 to Aug 4, 2020factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Jul 18, 2003 to Aug 18, 2005factForm ADV
→ A•••••• I••••••••• M••••••••• C•••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e6a5756-4577-3aed-6cf4-a59382288169
First observed: Aug 14, 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.