DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

L•••• A••• J••••••

Advisor at R•• C•••••• M••••••• L••

LOVELAND, OH | CONSHOHOCKEN, PA

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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, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2004 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•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 7, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jul 14, 2021	n/a	yes	CONSHOHOCKEN, PA\|LOVELAND, OH	Current employment
S•••••••• W••••• I••••••••• G••••• L••	Independent wealth	Dec 23, 2020	Jul 26, 2021	no	Loveland, OH\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• W••••• I••••••••• G••••• L••	R•• C•••••• M••••••• L••	Jul 26, 2021	Jul 14, 2021	-12	Firm change	RIA to ibd
R•••••• J•••• • A••••••••• I•••	S•••••••• W••••• I••••••••• G••••• L••	Dec 23, 2020	Dec 23, 2020

Relationships

Registered with (7)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jul 14, 2021 to presentfactForm ADV
→ S•••••••• W••••• I••••••••• G••••• L••Registered adviserregistration: previous registration
Dec 23, 2020 to Jul 26, 2021factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
May 12, 2020 to Dec 23, 2020factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 20, 2004
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.