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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

R••• J••••• A•••••••

Advisor at A••••••••• I•••

Chicago, IL | CONCORD, CA

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Search this name across graphsid dfx:ria:822e0d9d-fe42-d8e0-ca48-1c449391ad12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
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: A••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I•••	Bd affiliated wealth	Jan 23, 2023	n/a	yes	Chicago, IL\|CONCORD, CA	Current employment
O•••• P•••••••• S••••••••• L••	Former SEC adviser	Mar 8, 2022	Sep 1, 2022	no	OMAHA, NE\|Newton, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• P•••••••• S••••••••• L••	A••••••••• I•••	Sep 1, 2022	Jan 23, 2023	144	Firm change	RIA to ibd
T••••• W••••• A•••••••	O•••• P•••••••• S••••••••• L••	Jun 30, 2021	Mar 8, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
108345:306354:MA:2019-12-31	Dec 31, 2019	Jan 23, 2020	NEEDHAM, MA	Firm change

Relationships

Registered with (5)

→ A••••••••• I•••Registered adviserregistration: current employment
Jan 23, 2023 to presentfactForm ADV
→ O•••• P•••••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 8, 2022 to Sep 1, 2022factForm ADV
→ T••••• W••••• A•••••••Registered adviserregistration: previous registration
Dec 15, 2020 to Jun 30, 2021factForm ADV
→ A••••••••• I••••••••• M•••••

Dated events

Occurred
Sep 1, 2022
Advisor changed firm
R••• J••••• A••••••• left O•••• P•••••••• S••••••••• L•• for A••••••••• I••• (registered 2023-01-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:822e0d9d-fe42-d8e0-ca48-1c449391ad12
First observed: Nov 14, 2017
Last observed: Sep 14, 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.