DFX Intelligence

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

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RIA / WealthAdvisorPersonal Financial Specialist21 years in industry

C•••••••• J• S••••••

Advisor at S•••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:dc1a0c70-d352-6c5f-14f9-15ef589a9ba5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 14, 2011 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: S•••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Aug 3, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• L••	Former SEC adviser	Nov 10, 2016	n/a	yes	CHICAGO, IL	Current employment
S•••••• L••	Former SEC adviser	Nov 10, 2016	Dec 31, 2016	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• • C•	S•••••• L••	Nov 4, 2016	Nov 10, 2016	6	Firm change	Other

Relationships

Registered with (2)

→ S•••••• L••Registered adviserregistration: previous registration
Nov 10, 2016 to Dec 31, 2016factForm ADV
→ W••••••• • C•Registered adviserregistration: previous registration
Jun 14, 2011 to Nov 4, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc1a0c70-d352-6c5f-14f9-15ef589a9ba5
First observed: Jun 14, 2011
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.