DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

M•••••• J• S••••••

Advisor at R••••• W• B•••• • C•• I•••••••••

Eagle, WI | Waukesha, WI

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Search this name across graphsid dfx:ria:e15d70a1-7ce7-5ba8-18c1-a78557b3bc1c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 23, 1997 to Sep 15, 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Oct 14, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Mar 16, 2017	n/a	yes	Waukesha, WI\|Eagle, WI	Current employment
M•• A•••••••• L••	Former SEC adviser	Feb 28, 2011	Sep 8, 2017	no	BROOKFIELD, WI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• A•••••••• L••	R••••• W• B•••• • C•• I•••••••••	Sep 8, 2017	Mar 16, 2017	-176	Firm change after gap	Other
S••••••• F•••••••• S•••••••• I•••	M•• A•••••••• L••	Feb 28, 2011	Feb 28, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
155997:8158:WI:2017-09-08	Sep 8, 2017	Mar 16, 2017	BROOKFIELD, WI	Firm change after gap

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Mar 16, 2017 to presentfactForm ADV
→ M•• A•••••••• L••Registered adviserregistration: previous registration
Feb 28, 2011 to Sep 8, 2017factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 23, 1997 to Feb 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e15d70a1-7ce7-5ba8-18c1-a78557b3bc1c
First observed: Oct 23, 1997
Last observed: Sep 15, 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.