DFX Intelligence

O••••• N••••• V••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

O••••• N••••• V••••••

Advisor at S••••••••• A•••••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:38d1ae8c-cdcd-c6f3-62a5-f3b832690544

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Sep 7, 2023 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••••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••••••• L••	Independent wealth	Oct 16, 2025	n/a	yes	CHICAGO, IL	Current employment
B•••••••• I••••••••• M••••••••• L••	Asset manager	Dec 10, 2024	Oct 16, 2025	no	CHICAGO, IL\|Chicago, IL\|PRINCETON, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• I••••••••• M••••••••• L••	S••••••••• A•••••••• L••	Oct 16, 2025	Oct 16, 2025	0	Firm change	Other
F••••••• P••••••• A•• W•••••••• A•••••••	B•••••••• I••••••••• M••••••••• L••	Dec 2, 2024	Dec 10, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
108928:171992:NJ:2025-10-16	Oct 16, 2025	Oct 16, 2025	PRINCETON, NJ	Firm change

Relationships

Registered with (3)

→ S••••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 16, 2025 to presentfactForm ADV
→ B•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 10, 2024 to Oct 16, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 7, 2023 to Dec 2, 2024factForm ADV

Dated events

Occurred
Oct 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38d1ae8c-cdcd-c6f3-62a5-f3b832690544
First observed: Sep 7, 2023
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.