DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

R••••• J• L•••••••

Advisor at R••••••••• C•••••• M•••••••••

••• Locked

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:f29d56da-eb1a-2790-ac9b-654403078278

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 16, 2007 to Sep 15, 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 10, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Jul 20, 2026	n/a	yes	NY, NY\|New York, NY\|Naples, FL	Current employment
M••••• S••••••	Wirehouse	May 16, 2025	Jul 24, 2026	no	Naples, FL\|New York, NY\|Naples, FL\|Waccabuc, NY\|Waccabuc, NY\|Naples, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R••••••••• C•••••• M•••••••••	Jul 24, 2026	Jul 20, 2026	-4	Firm change	Wirehouse to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	May 19, 2025	May 16, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:291361:FL:2026-07-21	Jul 24, 2026	Jul 20, 2026	NAPLES, FL	Firm change

Relationships

Registered with (4)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
May 16, 2025 to Jul 24, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 11, 2014 to May 19, 2025factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

Occurred
Jul 24, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f29d56da-eb1a-2790-ac9b-654403078278
First observed: Apr 16, 2007
Last observed: Sep 15, 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.