DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

G••••• J••• L••••••

Advisor at C••••• I••••••••• A••••••• L••

LORDS VALLEY, PA | BROOKLYN, NY

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Search this name across graphsid dfx:ria:6f9838dc-7f04-93a1-890f-c41c82a39b31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2007 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 13, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Oct 20, 2015	n/a	yes	LORDS VALLEY, PA\|BROOKLYN, NY	Current employment
S••••• F•••••••• G•••• I••	Former SEC adviser	Aug 8, 2019	May 20, 2021	no	BROOKLYN, NY\|Lords Valley, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	n/a	May 20, 2021	n/a	n/a	Departure no registered destination	Departure
J• P• T••••• • C•••••• C•••••• M••••••••• L••	C••••• I••••••••• A••••••• L••	Nov 13, 2015	Oct 20, 2015	-24

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Oct 20, 2015 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Aug 8, 2019 to May 20, 2021factForm ADV
→ J• P• T••••• • C•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 4, 2007 to Nov 13, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f9838dc-7f04-93a1-890f-c41c82a39b31
First observed: Oct 4, 2007
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.