DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

D•••••• E••••• G••••

Advisor at T•••• C•••••• W••••• M••••••••• I••

Chicago, IL

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Search this name across graphsid dfx:ria:0683a7be-0273-6139-9e84-71336bc2676b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2006 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: T•••• C•••••• W••••• M••••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•••• C•••••• W••••• M••••••••• I••	Independent wealth	Apr 12, 2007	n/a	yes	Chicago, IL	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Mar 29, 2006	Oct 5, 2018	no	CHICAGO, IL\|OAK BROOK, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	T•••• C•••••• W••••• M••••••••• I••	Oct 5, 2018	Apr 12, 2007	-4,194	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:142728:IL:2018-10-02	Oct 5, 2018	Apr 12, 2007	CHICAGO, IL	Firm change after gap

Relationships

Registered with (2)

→ T•••• C•••••• W••••• M••••••••• I••Registered adviserregistration: current employment
Apr 12, 2007 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 29, 2006 to Oct 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0683a7be-0273-6139-9e84-71336bc2676b
First observed: Mar 29, 2006
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.