DFX Intelligence

R••••• O••••• K•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R••••• O••••• K•••

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

Chicago, IL

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Search this name across graphsid dfx:ria:09acfa13-3c1d-f362-fee2-29757e3af160

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2004 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: Mar 25, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Jan 14, 2026	n/a	yes	Chicago, IL	Current employment
B•••••••• I••••••••• M••••••••• L••	Asset manager	Dec 22, 2008	Jan 16, 2019	no	PRINCETON, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• I••••••••• M••••••••• L••	N••••• A•••• M••••••••• L••	Jan 16, 2019	Jan 14, 2026	2,555	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	B•••••••• I••••••••• M••••••••• L••	Jun 21, 2007

Relationships

Registered with (3)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Jan 14, 2026 to presentfactForm ADV
→ B•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 22, 2008 to Jan 16, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 5, 2004 to Jun 21, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09acfa13-3c1d-f362-fee2-29757e3af160
First observed: Apr 5, 2004
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.