DFX Intelligence

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

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RIA / WealthAdvisor26 years in industry

P•••••• T••••• O••••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Lincolnshire, 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:369f0724-c18a-f21f-0a92-d5cb361040a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 18, 2005 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•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 9, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Feb 22, 2024	n/a	yes	Lincolnshire, IL\|ROCKFORD, IL	Current employment
C•••••• A••••••• L••	Asset manager	May 4, 2023	Feb 20, 2024	no	NAPERVILLE, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• A••••••• L••	S••••• W••••• M•••••••••	Feb 20, 2024	Feb 22, 2024	2	Firm change	Other
N••••• A•••• M••••••••• L••	C•••••• A••••••• L••	Apr 11, 2023	May 4, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
155584:105758:IL:2023-04-11	Apr 11, 2023	May 4, 2023	CHICAGO, IL	Firm change

Relationships

Registered with (4)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Feb 22, 2024 to presentfactForm ADV
→ C•••••• A••••••• L••Registered adviserregistration: previous registration
May 4, 2023 to Feb 20, 2024factForm ADV
→ N••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Sep 1, 2011 to Apr 11, 2023factForm ADV
→ N••••• F••• A•••••••• L••

Dated events

Occurred
Feb 20, 2024
Advisor changed firm
P•••••• T••••• O•••••••• left C•••••• A••••••• L•• for S••••• W••••• M••••••••• (registered 2024-02-22)
Form ADVobserved 7 days ago
Occurred
Apr 11, 2023
Advisor changed firm
P•••••• T••••• O•••••••• left N••••• A•••• M••••••••• L•• for C•••••• A••••••• L•• (registered 2023-05-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:369f0724-c18a-f21f-0a92-d5cb361040a8
First observed: Jul 18, 2005
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.