DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S••••• J•••• P••••••••

Advisor at C•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:e59d70a0-099a-4631-880d-4b47e621ac70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 22, 2016 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 5, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Nov 15, 2021	n/a	yes	Lombard, IL	Current employment
L•••••• I•••••••••	Independent wealth	Nov 15, 2021	n/a	yes	Crystal Lake, IL\|Algonquin, IL\|LOMBARD, IL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• A•••••••	L•••••• I•••••••••	Nov 15, 2021	Nov 15, 2021	0	Firm change	Ibd to ibd
L•••••• I•••••••••	C•••••• A•••••••	Nov 15, 2021	May 5, 2020

Relationships

Registered with (2)

→ C•••••• A•••••••Registered adviserregistration: previous registration
May 5, 2020 to Nov 15, 2021factForm ADV
→ L•••••• I•••••••••Registered adviserregistration: previous registration
Jun 22, 2016 to Nov 15, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e59d70a0-099a-4631-880d-4b47e621ac70
First observed: Jun 22, 2016
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.