DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••• P••••••• W•••••• L••
HAWTHORN WOODS, 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 |
|---|---|---|---|---|---|---|
| F•••• P••••••• W•••••• L•• | Independent wealth | Jul 1, 2025 | n/a | yes | HAWTHORN WOODS, IL | Current employment |
| C•••••••• M••••••••• G•••• | Former SEC adviser | Jun 9, 2017 | Sep 23, 2025 | no | Hawthorn Woods, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• M••••••••• G•••• | F•••• P••••••• W•••••• L•• | Sep 23, 2025 | Jul 1, 2025 | -84 | Bulk transfer | RIA to RIA |
| C•••••• S••••• • C••• I••• | C•••••••• M••••••••• G•••• | Jun 9, 2017 | Jun 9, 2017 |
| C•••••• S••••• • C••• I••• | National bd RIA | Aug 20, 2015 | Jun 9, 2017 | no | Schaumburg, IL | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 1, 2013 | Jul 29, 2015 | no | NORTHBROOK, IL | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 1, 2013 | Jul 29, 2015 | no | Northbrook, IL | Previous registration |
| Z•••• I••••••••• M••••••••• I••• | Mixed wealth | Jan 18, 2008 | Aug 21, 2008 | no | CHICAGO, IL | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Jun 5, 2007 | Jan 2, 2008 | no | RIVERWOODS, IL | Previous registration |
| 0 |
| Firm change |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jul 29, 2015 | Feb 1, 2013 | -908 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 29, 2015 | Feb 1, 2013 | -908 | Firm change after gap | Other |
| Z•••• I••••••••• M••••••••• I••• | T• A••••••••• I••• | Aug 21, 2008 | Feb 1, 2013 | 1,625 | Firm change after gap | Other |
| M••••• S•••••• • C•• L•• | Z•••• I••••••••• M••••••••• I••• | Jan 2, 2008 | Jan 18, 2008 | 16 | Firm change | Other |