DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

D••••• P•••••• D•••••••

Advisor at N••••• A•••• M••••••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:055beda2-0eb9-961a-abd8-309f8e3e0b21

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2015 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••••• A•••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jul 9, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• A•••• M••••••••• L••	Mixed wealth	Aug 26, 2016	n/a	yes	CHICAGO, IL	Current employment
T••••••••• G••••• I••••••••• L••	Former SEC adviser	Jan 29, 2016	Nov 30, 2016	no	hOPKINTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• G••••• I••••••••• L••	N••••• A•••• M••••••••• L••	Nov 30, 2016	Aug 26, 2016	-96	Firm change after gap	Other
N••••• A•••• M••••••••• L••	T••••••••• G••••• I••••••••• L••	Jan 29, 2016	Jan 29, 2016

Relationships

Registered with (2)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Dec 16, 2015 to Jan 29, 2016factForm ADV
→ T••••••••• G••••• I••••••••• L••Registered adviserregistration: previous registration
Jan 29, 2016 to Nov 30, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:055beda2-0eb9-961a-abd8-309f8e3e0b21
First observed: Dec 16, 2015
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.