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R••••• A••• H••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

R••••• A••• H••••

Advisor at S•••••• W••••• A••••••• L••

Northbrook, 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:424e6ccb-31b1-1299-82cb-306340e5d9ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2001 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•••••• W••••• A••••••• L••
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: May 5, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
S•••••• W••••• A••••••• L••	Independent wealth	Jun 21, 2023	n/a	yes	Northbrook, IL	Current employment
A•••• M••••••••• G•••• L••	Former SEC adviser	Mar 18, 2016	Aug 8, 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
A•••• M••••••••• G•••• L••	S•••••• W••••• A••••••• L••	Aug 8, 2023	Jun 21, 2023	-48	Firm change after gap	RIA to RIA
S••••• P••••••• C•••••• M••••••••• L••	A•••• M••••••••• G•••• L••	Oct 26, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
144240:109581:IL:2016-10-26	Oct 26, 2016	Mar 18, 2016	NORTHBROOK, IL	Firm change after gap

Relationships

Registered with (4)

→ S•••••• W••••• A••••••• L••Registered adviserregistration: current employment
Jun 21, 2023 to presentfactForm ADV
→ A•••• M••••••••• G•••• L••Registered adviserregistration: previous registration
Mar 18, 2016 to Aug 8, 2023factForm ADV
→ S••••• P••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 15, 2007 to Oct 26, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Aug 8, 2023
Advisor changed firm
R••••• A••• H•••• left A•••• M••••••••• G•••• L•• for S•••••• W••••• A••••••• L•• (registered 2023-06-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:424e6ccb-31b1-1299-82cb-306340e5d9ff
First observed: Jul 9, 2001
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.