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P••• A• Z••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

P••• A• Z••••

Advisor at E••••• J••••

WAUKESHA, WI

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Search this name across graphsid dfx:ria:f1906180-7cd0-84ce-d612-f8d3be4b349a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2005 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 12, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 10derivedfrom 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
E••••• J••••	National bd RIA	Mar 15, 2016	n/a	yes	WAUKESHA, WI	Current employment
R••••••••• C•••••• M••••••••• L••	Independent wealth	Mar 3, 2008	Mar 8, 2016	no	MENOMONEE FALLS, WI

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
R••••••••• C•••••• M••••••••• L••	E••••• J••••	Mar 8, 2016	Mar 15, 2016	7	Firm change	Other
V•••• C••••••••• L••	R••••••••• C•••••• M••••••••• L••	Feb 28, 2008

Relationships

Registered with (3)

→ E••••• J••••Registered adviserregistration: current employment
Mar 15, 2016 to presentfactForm ADV
→ R••••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 3, 2008 to Mar 8, 2016factForm ADV
→ V•••• C••••••••• L••Registered adviserregistration: previous registration
Mar 18, 2005 to Feb 28, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1906180-7cd0-84ce-d612-f8d3be4b349a
First observed: Mar 18, 2005
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.