DFX Intelligence
Reading the graph
Reading the graph
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.
Advisor at P••• F•••••••• A•••••••• L••
SAN DIEGO, CA | Wheaton, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| P••• F•••••••• A•••••••• L•• | Independent wealth | Apr 14, 2025 | n/a | yes | Wheaton, IL|SAN DIEGO, CA | Current employment |
| F•••••••• W••••• M••••••••• L•• | Former SEC adviser | Oct 1, 2021 | Jul 7, 2025 | no | WHEATON, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | P••• F•••••••• A•••••••• L•• | Jul 7, 2025 | Apr 14, 2025 | -84 | Firm change after gap | RIA to RIA |
| I•• W••••• M••••••••• L•• | F•••••••• W••••• M••••••••• L•• | Sep 24, 2021 | Oct 1, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 173771:144316:IL:2025-07-07 | Jul 7, 2025 | Apr 14, 2025 | WHEATON, IL | Firm change after gap |
| I•• W••••• M••••••••• L•• | Bd affiliated wealth | Mar 29, 2021 | Sep 24, 2021 | no | CHICAGO, IL|OAKBROOK TERRACE, IL | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2021 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Feb 17, 2011 | Jul 13, 2018 | no | OAKBROOK, IL | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Mar 12, 2008 | May 13, 2009 | no | OAKBROOK TERRACE, IL | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 28, 2006 | Feb 26, 2008 | no | TINLEY PARK, IL|CHICAGO, IL | Previous registration |
| 7 |
| Firm change |
| RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | I•• W••••• M••••••••• L•• | Mar 31, 2021 | Mar 29, 2021 | -2 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| U•• F•••••••• S••••••• I••• | S•••••••• A••••••• L•• | May 13, 2009 | Feb 17, 2011 | 645 | Firm change after gap | Wirehouse to ibd |
| A••••••••• F•••••••• S•••••••• L•• | U•• F•••••••• S••••••• I••• | Feb 26, 2008 | Mar 12, 2008 | 15 | Firm change | Ibd to wirehouse |