DFX Intelligence

T•••• R••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Planner27 years in industry

T•••• R••••• F••••••

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

St. Charles, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14dbb559-2531-71fc-2899-d7937c0e264e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 16, 2002 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: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 15, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• A•••• M••••••••• L••	Independent wealth	Jun 3, 2024	n/a	yes	St. Charles, IL	Current employment
N••••••••• A•••• M••••••••• L••	Independent wealth	Jun 3, 2024	Dec 31, 2024	no	STAMFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W•••••	N••••••••• A•••• M••••••••• L••	Jul 25, 2024	Jun 3, 2024	-52	Bulk transfer	RIA to RIA
C•••••• S••••• • C••• I•••	C•••••••• W•••••	Mar 14, 2023	Mar 21, 2023

Relationships

Registered with (5)

→ N••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jun 3, 2024 to Dec 31, 2024factForm ADV
→ C•••••••• W•••••Registered adviserregistration: previous registration
Mar 21, 2023 to Jul 25, 2024factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Apr 9, 2010 to Mar 14, 2023factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Mar 14, 2023
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14dbb559-2531-71fc-2899-d7937c0e264e
First observed: May 16, 2002
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.