DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

J••• R••••• G••••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:730bc0a3-8003-95f5-f4a3-db4bd3d91e38

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2005 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 27, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 14, 2018	n/a	yes	GERMANTOWN, WI\|WAUKESHA, WI\|OAK CREEK, WI\|WEST ALLIS, WI\|PEWAUKEE, WI\|Franklin, WI\|Greenfield, WI\|Fox Point, WI\|OCONOMOWOC, WI\|West Allis, WI\|BROOKFIELD, WI\|Wauwatosa, WI\|OAK CREEK, WI\|MILWAUKEE, WI	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	Jan 3, 2017	Feb 16, 2018

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	L•• F•••••••• L••	Feb 16, 2018	Feb 14, 2018	-2	Bulk transfer	Other
L•• F•••••••• L••	I••••• F•••••••• C•••••••••	Dec 31, 2016	Jan 3, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:12984:WI:2016-12-31	Dec 31, 2016	Jan 3, 2017	WAUKESHA, WI	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 20, 2015 to Dec 31, 2016factForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Jan 3, 2017 to Feb 16, 2018factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2014 to Mar 19, 2015factForm ADV
→ G•••••••• F•••••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:730bc0a3-8003-95f5-f4a3-db4bd3d91e38
First observed: Mar 9, 2005
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.