DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

J••••• S•••• L•••••••••

Advisor at R•••• A••••••• S•••••••• I•••

CHICAGO, IL | GLENVIEW, IL

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Search this name across graphsid dfx:ria:7081d594-b3c7-7ac7-3b7b-6dca4caac98d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2001 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: R•••• A••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 12, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••• A••••••• S•••••••• I•••	Independent wealth	Apr 16, 2014	n/a	yes	CHICAGO, IL\|GLENVIEW, IL	Current employment
B••••••••• L••	Former SEC adviser	Aug 1, 2011	Aug 7, 2012	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• L••	R•••• A••••••• S•••••••• I•••	Aug 7, 2012	Apr 16, 2014	617	Firm change after gap	Other
W•••• F•••• A•••••••	B••••••••• L••	Aug 1, 2011	Aug 1, 2011

Relationships

Registered with (4)

→ R•••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Apr 16, 2014 to presentfactForm ADV
→ B••••••••• L••Registered adviserregistration: previous registration
Aug 1, 2011 to Aug 7, 2012factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Aug 1, 2011factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7081d594-b3c7-7ac7-3b7b-6dca4caac98d
First observed: Nov 16, 2001
Last observed: Sep 15, 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.