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M•••••• A••• I•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

M•••••• A••• I•••••••

Advisor at R•• W•••••

NAPERVILLE, IL

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Search this name across graphsid dfx:ria:4377e4a7-e7cc-e38a-7346-7795cfdab878

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 9, 2015 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•• W•••••
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: Mar 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

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
R•• W•••••	Independent wealth	Apr 5, 2023	n/a	yes	NAPERVILLE, IL	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Oct 18, 2017	Mar 7, 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
S••••••••• A•••••• A•••••••• I•••	R•• W•••••	Mar 7, 2023	Apr 5, 2023	29	Firm change	Ibd to new firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	S••••••••• A•••••• A•••••••• I•••	Oct 26, 2017

Team moves

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

Team	Left	Joined	From	Kind
110518:324695:IL:2023-03-07	Mar 7, 2023	Apr 5, 2023	NAPERVILLE, IL	Firm change
29604:110518:IL:2017-10-25	Oct 26, 2017	Oct 18, 2017	NAPERVILLE, IL	Firm change

Relationships

Registered with (3)

→ R•• W•••••Registered adviserregistration: current employment
Apr 5, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 18, 2017 to Mar 7, 2023factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jan 9, 2015 to Oct 26, 2017factForm ADV

Dated events

Occurred
Mar 7, 2023
Advisor changed firm
M•••••• A••• I••••••• left S••••••••• A•••••• A•••••••• I••• for R•• W••••• (registered 2023-04-05)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4377e4a7-e7cc-e38a-7346-7795cfdab878
First observed: Jan 9, 2015
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.