DFX Intelligence

C••••••••• K••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

C••••••••• K••• P••••

Advisor at N•••••••• W••••• M••••••••• L••

SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:02a1f78a-5cd7-acd6-410d-f4a9c161e446

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 19, 2017 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: N•••••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
N•••••••• W••••• M••••••••• L••	State registered	Jan 1, 2026	n/a	yes	SCHAUMBURG, IL	Current employment
R•• W••••• P•••••••	Independent wealth	Nov 3, 2023	Dec 19, 2023	no	BOSTON, MA\|Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• W••••• P•••••••	N•••••••• W••••• M••••••••• L••	Dec 19, 2023	Jan 1, 2026	744	Firm change after gap	RIA to state RIA
P•••••• W••••• A••••••• G••••	R•• W••••• P•••••••	Nov 7, 2023	Nov 3, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
158718:156984:IL:2023-11-06	Nov 7, 2023	Nov 3, 2023	CHICAGO, IL	Firm change

Relationships

Registered with (5)

→ N•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ R•• W••••• P•••••••Registered adviserregistration: previous registration
Nov 3, 2023 to Dec 19, 2023factForm ADV
→ P•••••• W••••• A••••••• G••••Registered adviserregistration: previous registration
Jul 26, 2019 to Nov 7, 2023factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••

Dated events

Occurred
Dec 19, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02a1f78a-5cd7-acd6-410d-f4a9c161e446
First observed: Jan 19, 2017
Last observed: Sep 14, 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.