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D•••• A•••••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••• A•••••••• N•••••

Advisor at A•••• W••••• A•••••••• L••

Frankfort, IL

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Search this name across graphsid dfx:ria:3d0e5860-98b9-194b-fa18-2d67fb62939b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 3, 2010 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: A•••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Jan 5, 2026	n/a	yes	Frankfort, IL	Current employment
C••••• S••••• A•••••••• I•••	Former SEC adviser	Aug 20, 2015	Nov 16, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• S••••• A•••••••• I•••	A•••• W••••• A•••••••• L••	Nov 16, 2023	Jan 5, 2026	781	Firm change after gap	RIA to ibd
B••••••••• C•••••• M••••••••• L••	C••••• S••••• A•••••••• I•••	Aug 19, 2015

Relationships

Registered with (5)

→ A•••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ C••••• S••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 20, 2015 to Nov 16, 2023factForm ADV
→ B••••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 24, 2014 to Aug 19, 2015factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

Occurred
Nov 16, 2023
Advisor changed firm
D•••• A•••••••• N••••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2026-01-05)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d0e5860-98b9-194b-fa18-2d67fb62939b
First observed: May 3, 2010
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.