DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner16 years in industry

S•••• A••• M••••••

Advisor at R••••••••• C•••••• M•••••••••

Chicago, IL | OAK BROOK, IL

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Search this name across graphsid dfx:ria:23130fbe-ca2b-d2f6-6fd4-62d908f4684e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 9, 2020 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Mar 1, 2021	n/a	yes	Chicago, IL\|OAK BROOK, IL	Current employment
W••••••• • C•	Former SEC adviser	Jun 9, 2020	Mar 16, 2021	no	OAK BROOK, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• • C•	R••••••••• C•••••• M•••••••••	Mar 16, 2021	Mar 1, 2021	-15	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
104633:291361:IL:2021-03-15	Mar 16, 2021	Mar 1, 2021	OAK BROOK, IL	Firm change

Relationships

Registered with (2)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Mar 1, 2021 to presentfactForm ADV
→ W••••••• • C•Registered adviserregistration: previous registration
Jun 9, 2020 to Mar 16, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23130fbe-ca2b-d2f6-6fd4-62d908f4684e
First observed: Jun 9, 2020
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.