DFX Intelligence

C•••••• R••••••••• I•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)43 years in industry

C•••••• R••••••••• I•••••

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

Wilmette, IL | BARRINGTON, IL

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Search this name across graphsid dfx:ria:12389fe4-9806-4efd-c427-8935d2e66a39

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 1, 1999 to Sep 15, 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: Jun 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 11derivedfrom 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	Dec 19, 2014	n/a	yes	BARRINGTON, IL\|Wilmette, IL	Current employment
N•• E•••••• S••••••••• C•••••••••	Former SEC adviser	Nov 1, 1999	Dec 22, 2014	no	CHICAGO, IL\|NORTHFIELD, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E•••••• S••••••••• C•••••••••	S•••••• W••••• M••••••••• L••	Dec 22, 2014	Dec 19, 2014	-3	Firm change	Other

Relationships

Registered with (2)

→ S•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 19, 2014 to presentfactForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Nov 1, 1999 to Dec 22, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12389fe4-9806-4efd-c427-8935d2e66a39
First observed: Nov 1, 1999
Last observed: Sep 15, 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.