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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S• M••••• J••••

Advisor at O•••• W•••••• I•••

KANSAS CITY, MO

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Search this name across graphsid dfx:ria:b5bb827b-0d7f-c2e3-207b-1a8c83613386

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 14, 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 22, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	n/a	yes	KANSAS CITY, MO	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	Dec 28, 2015	Nov 2, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
S••••••• F•••••••• S•••••••• I•••	S••••••• I••••••••• I•••	Jan 7, 2016

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 28, 2015 to Nov 2, 2018factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2012 to Jan 7, 2016factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5bb827b-0d7f-c2e3-207b-1a8c83613386
First observed: Dec 14, 2006
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.