DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

A•••• A•••••• P•••••

Advisor at W•••••• B•••• • C•••••• L•••••

CHICAGO, IL | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:313ba09b-cb5d-59aa-fc0d-9031d05bb096

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 3, 2014 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: W•••••• B•••• • C•••••• L•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	May 19, 2026	n/a	yes	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|PALM BEACH GARDENS, FL	Current employment
M•••••• • N••••• A•••••••• L••	Mixed wealth	Apr 3, 2014	May 26, 2026	no	DENVER, CO\|FAIRPORT, NY\|Palm Beach Gardens, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• • N••••• A•••••••• L••	W•••••• B•••• • C•••••• L•••••	May 26, 2026	May 19, 2026	-7	Firm change	RIA to ibd

Relationships

Registered with (2)

→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ M•••••• • N••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 3, 2014 to May 26, 2026factForm ADV

Dated events

Occurred
May 26, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:313ba09b-cb5d-59aa-fc0d-9031d05bb096
First observed: Apr 3, 2014
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.