DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)55 years in industry

R•••••• J••• S••••••

Advisor at C•••• • A••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:f3a75ed1-258e-1922-26fb-090b6303185f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2018 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: C•••• • A••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1971earliest registration or exam on IAPD
Years in industry: 55derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••• • A••••••••• I•••	Bd affiliated wealth	Jan 24, 2025	n/a	yes	ROCKLEIGH, NJ\|New York, NY\|Little Rock, AR	Current employment
S•••••• G•••• W••••• M••••••••• I•••	Former SEC adviser	Apr 2, 2018	Jan 24, 2025	no	new york, NY\|NEW YORK, NY

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• G•••• W••••• M••••••••• I•••	C•••• • A••••••••• I•••	Jan 24, 2025	Jan 24, 2025	0	Firm change	RIA to RIA

Relationships

Registered with (2)

→ C•••• • A••••••••• I•••Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ S•••••• G•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 2, 2018 to Jan 24, 2025factForm ADV

Dated events

Occurred
Jan 24, 2025
Advisor changed firm
R•••••• J••• S•••••• left S•••••• G•••• W••••• M••••••••• I••• for C•••• • A••••••••• I••• (registered 2025-01-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3a75ed1-258e-1922-26fb-090b6303185f
First observed: Apr 2, 2018
Last observed: Sep 15, 2026 7 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.