DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

J••••• D••••• Y••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | St Paul, MN

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Search this name across graphsid dfx:ria:a6b013e0-9bbb-febb-566c-7f4021d14db5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Aug 25, 2017 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Sep 3, 2025	n/a	yes	ROCKFORD, IL\|St Paul, MN	Current employment
P••••••••• P•••••••• L••	Former SEC adviser	Jan 16, 2024	Oct 20, 2025	no	ST. PAUL, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• P•••••••• L••	S••••• W••••• M•••••••••	Oct 20, 2025	Sep 3, 2025	-47	Firm change after gap	RIA to RIA
C••••••• P•••••••	P••••••••• P•••••••• L••	Jan 2, 2024	Jan 16, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
145743:107271:MN:2025-10-20	Oct 20, 2025	Sep 3, 2025	ST PAUL, MN	Firm change after gap

Relationships

Registered with (6)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Sep 3, 2025 to presentfactForm ADV
→ P••••••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 16, 2024 to Oct 20, 2025factForm ADV
→ C••••••• P•••••••Registered adviserregistration: previous registration
Oct 5, 2022 to Jan 2, 2024factForm ADV
→ W••••• F•••••••• A•••••••• L••

Dated events

Occurred
Oct 20, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6b013e0-9bbb-febb-566c-7f4021d14db5
First observed: Aug 25, 2017
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.