DFX Intelligence

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

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

M•••••• A•••• L••••••

Advisor at R•••••• J•••• • A••••••••• I•••

Chicago, IL

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Search this name across graphsid dfx:ria:840fb049-1f9a-8872-9e33-3131bdc45c53

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2006 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•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 21, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Sep 13, 2023	n/a	yes	Chicago, IL	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Feb 10, 2023	Sep 15, 2023	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	R•••••• J•••• • A••••••••• I•••	Sep 15, 2023	Sep 13, 2023	-2	Firm change	Ibd to ibd
R••••• W• B•••• • C•• I•••••••••	O••••••••• • C•• I•••	Apr 24, 2020	Feb 10, 2023

Relationships

Registered with (9)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Sep 13, 2023 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Feb 10, 2023 to Sep 15, 2023factForm ADV
→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: previous registration
Oct 30, 2019 to Apr 24, 2020factForm ADV
→ P•••• S•••••• • C••

Dated events

Occurred
Sep 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:840fb049-1f9a-8872-9e33-3131bdc45c53
First observed: Mar 6, 2006
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.