DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••• F•••••••• A•••••••• L••
Wheaton, IL | SAN DIEGO, CA
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 |
|---|---|---|---|---|---|---|
| P••• F•••••••• A•••••••• L•• | Independent wealth | Apr 17, 2025 | n/a | yes | Wheaton, IL|SAN DIEGO, CA | Current employment |
| F•••••••• W••••• M••••••••• L•• | Former SEC adviser | Mar 6, 2015 | Oct 31, 2025 | no | WHEATON, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | P••• F•••••••• A•••••••• L•• | Oct 31, 2025 | Apr 17, 2025 | -197 | Firm change after gap | RIA to RIA |
| U•• F•••••••• S••••••• I••• | F•••••••• W••••• M••••••••• L•• | Jan 20, 2015 | Mar 6, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 173771:144316:IL:2025-10-31 | Oct 31, 2025 | Apr 17, 2025 | WHEATON, IL | Firm change after gap |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 14, 2008 | Jan 20, 2015 | no | OAKBROOK TERRACE, IL | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 3, 2001 | Nov 18, 2008 | no | OAK BROOK, IL|OAK BROOK, IL | Previous registration |
| 45 |
| Firm change |
| Wirehouse to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | Nov 18, 2008 | Nov 14, 2008 | -4 | Firm change | Wirehouse to wirehouse |