DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)39 years in industry

A••• A•••••• L••••••

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

Oakbrook Terrace, IL | Scottsdale, AZ

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Search this name across graphsid dfx:ria:95ff7f48-46e6-f42a-537e-181d9150931c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 20, 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: Sep 3, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 15, 2016	n/a	yes	Oakbrook Terrace, IL\|Scottsdale, AZ	Current employment
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	Sep 20, 2006	Apr 22, 2016	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• B•••• • C•••••• L•••••	R•••••• J•••• • A••••••••• I•••	Apr 22, 2016	Apr 15, 2016	-7	Firm change	Other

Relationships

Registered with (2)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 15, 2016 to presentfactForm ADV
→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: previous registration
Sep 20, 2006 to Apr 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95ff7f48-46e6-f42a-537e-181d9150931c
First observed: Sep 20, 2006
Last observed: Sep 14, 2026 9 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.