DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R••••• L•• D•••••••

Advisor at F•••• T•••• A••••••• L•

WHEATON, IL | COLLEGE GROVE, TN

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Search this name across graphsid dfx:ria:4a59fe86-ef4e-3a8d-cd80-dee753168026

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2004 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: F•••• T•••• A••••••• L•
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Mar 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• T•••• A••••••• L•	Asset manager	Apr 24, 2009	n/a	yes	WHEATON, IL\|COLLEGE GROVE, TN	Current employment
S••••••••• A••••••• L••	Asset manager	Mar 15, 2005	May 7, 2009	no	WILTON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A••••••• L••	F•••• T•••• A••••••• L•	May 7, 2009	Apr 24, 2009	-13	Firm change	Other
S••••••••• A•••• M•••••••••	S••••••••• A••••••• L••	Mar 21, 2005	Mar 15, 2005

Relationships

Registered with (3)

→ F•••• T•••• A••••••• L•Registered adviserregistration: current employment
Apr 24, 2009 to presentfactForm ADV
→ S••••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 15, 2005 to May 7, 2009factForm ADV
→ S••••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Apr 23, 2004 to Mar 21, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a59fe86-ef4e-3a8d-cd80-dee753168026
First observed: Apr 23, 2004
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.