DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

F•••• T••••• V••••

Advisor at S•••• W••••• M••••••••• L••

Aurora, IL | MCLEAN, VA

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Search this name across graphsid dfx:ria:30b351ed-8c65-69f6-a758-eb579808b817

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2015 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: S•••• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 15, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Oct 13, 2021	n/a	yes	MCLEAN, VA\|Aurora, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 3, 2015	Aug 20, 2021	no	AURORA, IL\|MONTGOMERY, IL\|N. AURORA, IL\|SANDWICH, IL\|YORKVILLE, IL\|SAN DIEGO, CA\|YORKVILLE, IL\|OSWEGO, IL\|OSWEGO, IL\|YORKVILLE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••• W••••• M••••••••• L••	Aug 20, 2021	Oct 13, 2021	54	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Oct 13, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 3, 2015 to Aug 20, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30b351ed-8c65-69f6-a758-eb579808b817
First observed: Apr 3, 2015
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.