DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

P•••• J••• L•••••

Advisor at U•• F•••••••• S••••••• I•••

OAKBROOK TERRACE, IL | SARASOTA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d34ad6c1-99c6-0902-2994-49d1b96378ea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2000 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 14, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 15, 2024	n/a	yes	OAKBROOK TERRACE, IL\|SARASOTA, FL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 8, 2016	Nov 18, 2024	no	OAK BROOK, IL\|Sarasota, FL\|Sarasota, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Nov 18, 2024	Nov 15, 2024	-3	Firm change	Wirehouse to wirehouse
U•• F•••••••• S••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 19, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:7691:IL:2016-01-19	Jan 19, 2016	Jan 8, 2016	NAPERVILLE, IL	Firm change

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
May 1, 2009 to Jan 19, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 8, 2016 to Nov 18, 2024factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to May 4, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

Occurred
Nov 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d34ad6c1-99c6-0902-2994-49d1b96378ea
First observed: Jan 3, 2000
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.