DFX Intelligence

B•••• W•••••• A•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor18 years in industry

B•••• W•••••• A•••••

Advisor at S••••••••• W••••• P••••••• L••

CARY, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 4, 2014 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: S••••••••• W••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••••••• S•••••••• W•••••• L••	Bank affiliated wealth	Sep 3, 2025	n/a	yes	CARY, IL	Current employment
S••••••••• W••••• P••••••• L••	Independent wealth	Jun 5, 2018	n/a	yes	CARY, IL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• B•••••• F•••• L••	n/a	Apr 10, 2026	n/a	n/a	Departure no registered destination	Departure
W••••• B•••••• F•••• L••	H••••••• S•••••••• W•••••• L••	Nov 4, 2025	Sep 3, 2025	-62

Team moves

••• Locked

Team	Left	Joined	From	Kind
148107:293060:IL:2017-12-04	Dec 4, 2017	Jun 5, 2018	CARY, IL	Firm change

Relationships

Registered with (4)

→ H••••••• S•••••••• W•••••• L••Registered adviserregistration: current employment
Sep 3, 2025 to presentfactForm ADV
→ S••••••••• W••••• P••••••• L••Registered adviserregistration: current employment
Jun 5, 2018 to presentfactForm ADV
→ W••••• B•••••• F•••• L••Registered adviserregistration: previous registration
Nov 4, 2025 to Apr 10, 2026factForm ADV
→ K•••••••• W••••• M••••••••• L••

Dated events

Order

Occurred
10 Apr 2026
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
4 Nov 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 4, 2014
Last observed: Sep 14, 2026 10 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.