DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)21 years in industry

E••• S• E••••

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

CHICAGO, IL

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Search this name across graphsid dfx:ria:10bcad19-678f-ec39-cb3e-870f5c40280a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 27, 2005 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 31, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• A•••• M••••••••• L••	Mixed wealth	Jan 3, 2022	n/a	yes	CHICAGO, IL	Current employment
S•••• B•••••• A•••• M••••••••• L••	Former SEC adviser	Jan 18, 2017	Dec 31, 2021	no	Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• B•••••• A•••• M••••••••• L••	N••••• A•••• M••••••••• L••	Dec 31, 2021	Jan 3, 2022	3	Firm change	Other
Z•••• I••••••••• M••••••••• I•••	S•••• B•••••• A•••• M••••••••• L••	Jan 25, 2017	Jan 18, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
138123:155584:IL:2021-12-31	Dec 31, 2021	Jan 3, 2022	CHICAGO, IL	Firm change

Relationships

Registered with (4)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Jan 3, 2022 to presentfactForm ADV
→ S•••• B•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 18, 2017 to Dec 31, 2021factForm ADV
→ Z•••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 20, 2009 to Jan 25, 2017factForm ADV
→ G••••••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10bcad19-678f-ec39-cb3e-870f5c40280a
First observed: May 27, 2005
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.