DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

A•••• W•••••••• A••••••

Advisor at I•• W••••• M••••••••• L••

CHICAGO, IL | Northbrook, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3196be47-fba4-2537-8034-375dca9db285

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 20, 1998 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: I•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	Dec 21, 2020	n/a	yes	CHICAGO, IL\|Northbrook, IL	Current employment
S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	Former SEC adviser	Aug 14, 2018	Dec 31, 2020	no	NORTHBROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	I•• W••••• M••••••••• L••	Dec 31, 2020	Dec 21, 2020	-10	Firm change	Other
I••••••••• F•••••••• P•••••••	S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	Jan 7, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
293807:171481:IL:2020-12-31	Dec 31, 2020	Dec 21, 2020	NORTHBROOK, IL	Firm change
125112:293807:IL:2018-12-31	Jan 7, 2019	Aug 14, 2018	NORTHBROOK, IL	Firm change after gap

Relationships

Registered with (5)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 21, 2020 to presentfactForm ADV
→ S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••Registered adviserregistration: previous registration
Aug 14, 2018 to Dec 31, 2020factForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Jun 20, 2011 to Jan 7, 2019factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3196be47-fba4-2537-8034-375dca9db285
First observed: Jul 20, 1998
Last observed: Sep 14, 2026 9 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.