DFX Intelligence

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

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RIA / WealthAdvisor41 years in industry

J•• S•••• F••••••

Advisor at C••• L••

Seneca, SC | OMAHA, NE

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 16, 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: C••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 15, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jul 17, 2025	n/a	yes	Seneca, SC\|OMAHA, NE	Current employment
C••••••• F•••••••• A•••••••	Former SEC adviser	Apr 12, 2010	Mar 30, 2026	no	SENECA, SC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• F•••••••• A•••••••	C••• L••	Mar 30, 2026	Jul 17, 2025	-256	Firm change after gap	RIA to ibd
E•• A•••••••	C••••••• F•••••••• A•••••••	Apr 30, 2010	Apr 12, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
153101:155344:SC:2026-03-30	Mar 30, 2026	Jul 17, 2025	SENECA, SC	Firm change after gap

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Jul 17, 2025 to presentfactForm ADV
→ C••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Apr 12, 2010 to Mar 30, 2026factForm ADV
→ E•• A•••••••Registered adviserregistration: previous registration
Jan 27, 2010 to Apr 30, 2010factForm ADV
→ E•••• P••• S••••••• I••

Dated events

Order

Occurred
30 Mar 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 16, 2004
Last observed: Sep 14, 2026 10 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.