DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R••• J•••• D•••••

Advisor at W•••••• B•••• • C•••••• L•••••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Feb 4, 2002 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R••• J•••• D•••••

Private equity principal · same individual CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: W•••••• B•••• • C•••••• L•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	Sep 19, 2012	n/a	yes	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|LOS ANGELES, CA\|WILMETTE, IL	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 10, 2012	no	COLORADO SPRINGS, CO\|CHICAGO, IL\|Denver, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	W•••••• B•••• • C•••••• L•••••	Oct 10, 2012	Sep 19, 2012	-21	Firm change	Other
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: current employment
Sep 19, 2012 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 10, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 12, 2004 to Jun 1, 2009factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 4, 2002
Last observed: Sep 15, 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.