DFX Intelligence

N••••• P•••• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

N••••• P•••• C•••••••

Advisor at R••••••••• P•••••••• I•••

OAK BROOK, IL

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Search this name across graphsid dfx:ria:3c8c8d00-9691-cd81-f952-ad45ef440c6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 12, 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: R••••••••• P•••••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 19, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 28derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••• I••••••••• S••••••••• I•••	Independent wealth	Jul 20, 1998	n/a	yes	OAK BROOK, IL	Current employment
R••••••••• P•••••••• I•••	State registered	Jan 4, 1998	n/a	yes	OAK BROOK, IL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••• C•••••• M••••••••• I••	M••• I••••••••• S••••••••• I•••	Dec 31, 2008	Jul 20, 1998	-3,817	Firm change after gap	Other

Relationships

Registered with (3)

→ M••• I••••••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 20, 1998 to presentfactForm ADV
→ R••••••••• P•••••••• I•••Registered adviserregistration: current employment
Jan 4, 1998 to presentfactForm ADV
→ H••••••• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Jan 12, 1998 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c8c8d00-9691-cd81-f952-ad45ef440c6f
First observed: Jan 12, 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.