DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••• J•••• S•••••

Advisor at I•• W••••• M••••••••• L••

CHICAGO, IL | QUEEN CREEK, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:84a7afbb-41d6-5b88-83a3-542c30a6373f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 24, 2003 to Sep 15, 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: I•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 21, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	Jul 1, 2014	n/a	yes	CHICAGO, IL\|QUEEN CREEK, AZ	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 23, 2009	Jun 30, 2014	no	SKOKIE, IL\|SKOKIE, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	I•• W••••• M••••••••• L••	Jun 30, 2014	Jul 1, 2014	1	Firm change	Wirehouse to new firm
B••• O• A•••••• I••••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 23, 2009

Relationships

Registered with (4)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Jul 1, 2014 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Jun 30, 2014factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 24, 2008 to Oct 23, 2009factForm ADV
→ L•••••• F•••••••• S•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84a7afbb-41d6-5b88-83a3-542c30a6373f
First observed: Nov 24, 2003
Last observed: Sep 15, 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.