DFX Intelligence

J••••••• L•• S••••: 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 / WealthAdvisor30 years in industry

J••••••• L•• S••••

Advisor at C••••••• P•••••••• I•••

NEW YORK, NY | Indianola, IA

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:ffeb95b5-fc39-a967-8fa5-9d160aefdb99

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2012 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••••••• P•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P•••••••• I•••	Independent wealth	Jun 20, 2025	n/a	yes	Indianola, IA\|NEW YORK, NY	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 9, 2015	Jun 20, 2025	no	WEST DES MOINES, IA\|Indianola, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	C••••••• P•••••••• I•••	Jun 20, 2025	Jun 20, 2025	0	Firm change	Ibd to RIA
E••••• J••••	A••••••••• F•••••••• S•••••••• L••	Oct 13, 2015	Oct 9, 2015

Relationships

Registered with (3)

→ C••••••• P•••••••• I•••Registered adviserregistration: current employment
Jun 20, 2025 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 9, 2015 to Jun 20, 2025factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jan 3, 2012 to Oct 13, 2015factForm ADV

Dated events

Occurred
Jun 20, 2025
Advisor changed firm
J••••••• L•• S•••• left A••••••••• F•••••••• S•••••••• L•• for C••••••• P•••••••• I••• (registered 2025-06-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffeb95b5-fc39-a967-8fa5-9d160aefdb99
First observed: Jan 3, 2012
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.