DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

J••• R•••••• N••••

Advisor at R•• C•••••• M••••••• L••

WATERTOWN, NY | CLAYTON, NY

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Search this name across graphsid dfx:ria:a186a0bf-eee4-8d32-0ea3-fe9a0345628f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2011 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•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Nov 29, 2011	n/a	yes	WATERTOWN, NY\|CLAYTON, NY	Current employment
L•••••• I•••••••••	Independent wealth	Apr 7, 2011	Sep 9, 2011	no	HANOVER, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• I•••••••••	R•• C•••••• M••••••• L••	Sep 9, 2011	Nov 29, 2011	81	Firm change	Other

Relationships

Registered with (2)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Nov 29, 2011 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: previous registration
Apr 7, 2011 to Sep 9, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a186a0bf-eee4-8d32-0ea3-fe9a0345628f
First observed: Apr 7, 2011
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.