DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

P•••• S••• M••••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

Chicago, IL | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:187b66b4-3eef-2cc5-1dd4-f12c6ff5f79b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 9, 2006 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 14, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Oct 1, 2024	n/a	yes	Chicago, IL\|CHARLOTTE, NC	Current employment
R••• C•••••• P•••••••• L••	State registered	Jan 17, 2013	Apr 2, 2015	no	NEWPORT BEACH, CA\|Wilmette, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••• C•••••• P•••••••• L••	I• F•••••••• A••••••• S••••••• L••	Apr 2, 2015	Oct 1, 2024	3,470	Firm change after gap	Other
A••••••• E•••••••• I•••	R••• C•••••• P•••••••• L••	Nov 20, 2012	Jan 17, 2013

Relationships

Registered with (4)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Oct 1, 2024 to presentfactForm ADV
→ R••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 17, 2013 to Apr 2, 2015factForm ADV
→ A••••••• E•••••••• I•••Registered adviserregistration: previous registration
Feb 20, 2007 to Nov 20, 2012factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:187b66b4-3eef-2cc5-1dd4-f12c6ff5f79b
First observed: Oct 9, 2006
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.