DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

D•••••• P•••• E•••••••••

Advisor at C••• C••••••• L••

CHICAGO, IL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 2
Observed: Jan 3, 2001 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

D•••••• P•••• E•••••••••

Real estate principal · same individual CRD

Private Equityidentity

D•••••• P•••• E•••••••••

Private equity principal · same individual CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 3, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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
C••• C••••••• L••	Independent wealth	Jan 22, 2024	n/a	yes	CHICAGO, IL	Current employment
C••• C••••••	Former SEC adviser	Feb 6, 2020	Jan 26, 2024	no	RALEIGH, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• C••••••	C••• C••••••• L••	Jan 26, 2024	Jan 22, 2024	-4	Channel change	RIA to RIA
C••• C••••••• L••	C••• C••••••	Jan 30, 2020	Feb 6, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
281133:134249:NC:2024-01-26	Jan 26, 2024	Jan 22, 2024	RALEIGH, NC	Channel change

Relationships

Registered with (3)

→ C••• C••••••• L••Registered adviserregistration: previous registration
Apr 14, 2005 to Jan 30, 2020factForm ADV
→ C••• C••••••Registered adviserregistration: previous registration
Feb 6, 2020 to Jan 26, 2024factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2001 to Apr 15, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 3, 2001
Last observed: Sep 14, 2026 10 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.