DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

E••••• R••••• P•••••••

Advisor at R••••••••• C•••••• M•••••••••

Chicago, IL

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Search this name across graphsid dfx:ria:33432432-7643-29e7-150b-f30e7bfc061f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 9, 1997 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 20, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Sep 4, 2026	n/a	yes	Chicago, IL	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 4, 2015	Sep 10, 2026	no	CHICAGO, IL\|ST. LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	R••••••••• C•••••• M•••••••••	Sep 10, 2026	Sep 4, 2026	-6	Firm change	Ibd to ibd
B••••••• C•••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Dec 4, 2015	Dec 4, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:291361:MO:2026-09-10	Sep 10, 2026	Sep 4, 2026	ST LOUIS, MO	Firm change

Relationships

Registered with (4)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Dec 4, 2015 to Sep 10, 2026factForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Dec 4, 2015factForm ADV
→ L••••• B••••••• I•••Registered adviser

Dated events

Occurred
Sep 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33432432-7643-29e7-150b-f30e7bfc061f
First observed: Sep 9, 1997
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.