DFX Intelligence

Data Factory

R••• D•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R••• D•••• B••••

Advisor at 4•••••• A•••••••• I•••

BURR RIDGE, 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:3d30a9e3-bc33-74c3-0707-40ce817a06a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 10, 1999 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: 4•••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 26, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 22derivedfrom 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
4•••••• A•••••••• I•••	Independent wealth	Apr 30, 2004	n/a	yes	BURR RIDGE, IL	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Mar 21, 2003	Sep 13, 2013	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
O•••• W•••••• I•••	4•••••• A•••••••• I•••	Sep 13, 2013	Apr 30, 2004	-3,423	Firm change after gap	Other
M•••• C••••••• A••••••• S••••••	O•••• W•••••• I•••	Oct 2, 2002

Relationships

Registered with (3)

→ 4•••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 30, 2004 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Mar 21, 2003 to Sep 13, 2013factForm ADV
→ M•••• C••••••• A••••••• S••••••Registered adviserregistration: previous registration
Aug 10, 1999 to Oct 2, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d30a9e3-bc33-74c3-0707-40ce817a06a5
First observed: Aug 10, 1999
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.