DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R••• J••••• A•••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:d23e0d89-b476-de55-56e8-e4419349690b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2001 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 5, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WEST DES MOINES, IA\|BLACK CREEK, WI	Current employment
T••••••• A•••••• N••••••• L••	Bd affiliated wealth	Jun 7, 2021	Sep 23, 2022	no	Appleton, WI\|MINNEAPOLIS, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••• A•••••• N••••••• L••	C••••• I••••••••• A••••••• L••	Sep 23, 2022	Jun 29, 2023	279	Firm change	Ibd to ibd
P•••••• C••••• S•••••••• L••	T••••••• A•••••• N••••••• L••	May 24, 2021	Jun 7, 2021

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ T••••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 7, 2021 to Sep 23, 2022factForm ADV
→ P•••••• C••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2018 to May 24, 2021factForm ADV
→ S•• I••••••••• I•••

Dated events

Occurred
Sep 23, 2022
A•••••• firm change
R••• J••••• A••••• left T••••••• A•••••• N••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d23e0d89-b476-de55-56e8-e4419349690b
First observed: Sep 24, 2001
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.