DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

C••••••••• J• C••••••

Advisor at R•• C•••••• M••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:922049b6-15c1-b548-f7be-ab5fee2fa186

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 19, 2002 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 11, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Feb 18, 2021	n/a	yes	Sarasota, FL\|Lake Forest, IL\|LAKE FOREST, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 26, 2011	Feb 19, 2021	no	LAKE FOREST, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•• C•••••• M••••••• L••	Feb 19, 2021	Feb 18, 2021	-1	Firm change	Wirehouse to ibd
O•• R•••• I••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 4, 2010	Sep 26, 2011

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Feb 18, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 26, 2011 to Feb 19, 2021factForm ADV
→ O•• R•••• I••••••••• L••Registered adviserregistration: previous registration
Jul 19, 2002 to Aug 4, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:922049b6-15c1-b548-f7be-ab5fee2fa186
First observed: Jul 19, 2002
Last observed: Sep 15, 2026 7 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.