DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)13 years in industry

S•••••• B••••••

Advisor at J••• M••••• S••••••••• L••

Winnetka, IL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2017 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jul 2, 2024	n/a	yes	Winnetka, IL	Current employment
F•••••••• A••••••• L••	Mixed wealth	Jul 13, 2022	Aug 19, 2022	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A••••••• L••	J••• M••••• S••••••••• L••	Aug 19, 2022	Jul 2, 2024	683	Firm change after gap	RIA to wirehouse
F•••• F•••••••• M••••••••• L•	F•••••••• A••••••• L••	Jul 26, 2021	Jul 13, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
153747:107271:IL:2020-08-02	Aug 2, 2020	Feb 25, 2020	LINCOLNSHIRE, IL	Firm change after gap

Relationships

Registered with (6)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jul 2, 2024 to presentfactForm ADV
→ F•••••••• A••••••• L••Registered adviserregistration: previous registration
Jul 13, 2022 to Aug 19, 2022factForm ADV
→ F•••• F•••••••• M••••••••• L•Registered adviserregistration: previous registration
Jan 11, 2021 to Jul 26, 2021factForm ADV
→ S••••• W••••• M•••••••••

Dated events

Order

Occurred
19 Aug 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2017
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.