DFX Intelligence
Reading the graph
Reading the graph
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.
Advisor at W••••• E••••••••• A••••••• S•••••••• L••
LIBERTYVILLE, IL | PLYMOUTH, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| A••••••• S•••••••• G•••• | Independent wealth | Mar 27, 2026 | n/a | yes | LIBERTYVILLE, IL|PLYMOUTH, MN | Current employment |
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Sep 17, 2025 | n/a | yes | LIBERTYVILLE, IL|PLYMOUTH, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••••• W••••• P••••••• | W••••• E••••••••• A••••••• S•••••••• L•• | Oct 2, 2025 | Sep 17, 2025 | -15 | Firm change | RIA to ibd |
| P•••••• I••••••••• M••••••••• I••• | G•••••••• W••••• P••••••• | Sep 15, 2022 | Nov 17, 2022 |
| G•••••••• W••••• P••••••• | Bd affiliated wealth | Nov 17, 2022 | Oct 2, 2025 | no | SCHAUMBURG, IL|PALM BEACH GARDENS, FL | Previous registration |
| P•••••• I••••••••• M••••••••• I••• | Independent wealth | Mar 25, 2022 | Sep 15, 2022 | no | HIGHLAND PARK, IL | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 1, 2012 | Mar 26, 2020 | no | CHICAGO, IL|PARK RIDGE, IL | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Aug 26, 2011 | Oct 1, 2012 | no | CHICAGO, IL|CHICAGO, IL | Previous registration |
| I•••••• S••••••••• I••• | Mixed wealth | Aug 6, 2008 | Aug 3, 2011 | no | MORRISTOWN, NJ|NORTH MIAMI, FL|ADDISON, IL|HENDERSON, NV|NEW YORK, NY|LANCASTER, PA|HIGHLAND PARK, IL|Highland Park, IL|WELLESLEY, MA|Miami, FL|NEW YORK, NY|SAN FRANCISCO, CA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jan 16, 2008 | Mar 7, 2008 | no | CHICAGO, IL | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 7, 2007 | Jan 4, 2008 | no | CHICAGO, IL | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jan 16, 2007 | Apr 24, 2007 | no | ROSEMONT, IL|DEERFIELD, IL | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 20, 2005 | Jan 16, 2007 | no | ROSEMONT, IL|ROSEMONT, IL | Previous registration |
| O••••••••• A•••• M••••••••• | Bd affiliated wealth | Apr 15, 2003 | Jul 1, 2004 | no | NEW YORK, NY | Previous registration |
| O••••••••• • C•• I••• | Bd affiliated wealth | Jan 3, 2003 | Apr 15, 2003 | no | CHICAGO, IL | Previous registration |
| C••• W•••• M•••••• C•••• | n/a | Oct 21, 2002 | Jan 3, 2003 | no | CHICAGO, IL | Previous registration |
| 63 |
| Firm change |
| RIA to RIA |
| J••• M••••• S••••••••• L•• | P•••••• I••••••••• M••••••••• I••• | Mar 26, 2020 | Mar 25, 2022 | 729 | Firm change after gap | Wirehouse to RIA |
| C•••• I••••••••• S••••••• C•••• | J••• M••••• S••••••••• L•• | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| I•••••• S••••••••• I••• | C•••• I••••••••• S••••••• C•••• | Aug 3, 2011 | Aug 26, 2011 | 23 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | I•••••• S••••••••• I••• | Mar 7, 2008 | Aug 6, 2008 | 152 | Firm change | Other |
| E•••••••• A•••••••• L•• | U•• F•••••••• S••••••• I••• | Apr 24, 2007 | May 7, 2007 | 13 | Firm change | Ibd to wirehouse |
| O••••••••• A•••• M••••••••• | E•••••••• A•••••••• L•• | Jul 1, 2004 | Apr 20, 2005 | 293 | Firm change | Other |
| O••••••••• • C•• I••• | O••••••••• A•••• M••••••••• | Apr 15, 2003 | Apr 15, 2003 | 0 | Bulk transfer | Other |
| C••• W•••• M•••••• C•••• | O••••••••• • C•• I••• | Jan 3, 2003 | Jan 3, 2003 | 0 | Bulk transfer | Other |