DFX Intelligence

R••• P•••••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

R••• P•••••• D••••

Advisor at E••••• J••••

Carmel, IN

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Search this name across graphsid dfx:ria:e926c095-205a-c1b0-1a97-2ae69c4bce3f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2014 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 15, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Aug 20, 2018	n/a	yes	Carmel, IN	Current employment
E•••••• C•••••• M••••••••• L••	Former SEC adviser	Apr 14, 2016	Jul 27, 2018	no	Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• C•••••• M••••••••• L••	E••••• J••••	Jul 27, 2018	Aug 20, 2018	24	Firm change	RIA to ibd
E••••• J••••	E•••••• C•••••• M••••••••• L••	Mar 22, 2016	Apr 14, 2016

Relationships

Registered with (2)

→ E••••• J••••Registered adviserregistration: previous registration
Mar 3, 2014 to Mar 22, 2016factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 14, 2016 to Jul 27, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e926c095-205a-c1b0-1a97-2ae69c4bce3f
First observed: Mar 3, 2014
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.