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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S••••• J••• D•••••

Advisor at I•• W••••• M••••••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:d4f4f5b2-8aad-c356-74e6-5d90716381bc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Nov 30, 1999 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

S••••• J••• D•••••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: I•• W••••• M••••••••• L••
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: Jun 16, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom 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
I•• W••••• M••••••••• L••	Bd affiliated wealth	Jul 1, 2014	n/a	yes	CHICAGO, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 23, 2017	Jun 26, 2017	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
L•• F•••••••• L••	n/a	Jun 26, 2017	n/a	n/a	Departure no registered destination	Departure
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	I•• W••••• M••••••••• L••	Jun 30, 2014	Jul 1, 2014

Relationships

Registered with (6)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Jul 1, 2014 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 23, 2017 to Jun 26, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Jun 30, 2014factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4f4f5b2-8aad-c356-74e6-5d90716381bc
First observed: Nov 30, 1999
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.