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

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RIA / WealthAdvisor18 years in industry

M•••••• J••••• P••••

Advisor at C• I••••••••• L••

River Falls, WI | AUBURN, IN

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:e68e7033-464a-b9bc-eb44-aff9238ae495

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2007 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• I••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 8, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
C• I••••••••• L••	Independent wealth	Feb 22, 2023	n/a	yes	River Falls, WI\|AUBURN, IN	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Oct 25, 2016	Feb 21, 2023	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
S••••••••• A•••••• A•••••••• I•••	C• I••••••••• L••	Feb 21, 2023	Feb 22, 2023	1	Firm change	Ibd to RIA
F•••• A••••• A••••••• S•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Nov 17, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137888:110518:WI:2016-11-17	Nov 17, 2016	Oct 25, 2016	RIVER FALLS, WI	Firm change

Relationships

Registered with (5)

→ C• I••••••••• L••Registered adviserregistration: current employment
Feb 22, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 25, 2016 to Feb 21, 2023factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 17, 2016factForm ADV
→ F•••• A••••• S••••••••• I•••

Dated events

Occurred
Feb 21, 2023
Advisor changed firm
M•••••• J••••• P•••• left S••••••••• A•••••• A•••••••• I••• for C• I••••••••• L•• (registered 2023-02-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e68e7033-464a-b9bc-eb44-aff9238ae495
First observed: Nov 21, 2007
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.