DFX Intelligence

G••• T••••• H••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

G••• T••••• H••••

Advisor at S•••••• W••••• M••••••••• L••

BARRINGTON, IL

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Search this name across graphsid dfx:ria:0537f45d-1980-a3c2-6f02-bc00c7f14bfd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 21, 2001 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••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 21, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• M••••••••• L••	Independent wealth	May 10, 2018	n/a	yes	BARRINGTON, IL	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	May 21, 2001	Sep 30, 2010	no	SCHAUMBURG, IL\|SCHAUMBURG, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	S•••••• W••••• M••••••••• L••	Sep 30, 2010	May 10, 2018	2,779	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 10, 2018 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 21, 2001 to Sep 30, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0537f45d-1980-a3c2-6f02-bc00c7f14bfd
First observed: May 21, 2001
Last observed: Sep 14, 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.