DFX Intelligence

M•••• R••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

M•••• R••• W•••••

Advisor at T•••• C•••••• W••••• M••••••••• I••

NAPERVILLE, IL

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Search this name across graphsid dfx:ria:4bed2f73-5955-5534-f21f-133efaa41f7a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 1, 1998 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: T•••• C•••••• W••••• M••••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 23, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•••• C•••••• W••••• M••••••••• I••	Independent wealth	Feb 10, 2012	n/a	yes	NAPERVILLE, IL	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Feb 1, 1998	Oct 4, 2018	no	NAPERVILLE, IL\|WESTMONT, IL\|DOWNER'S GROVE, IL\|ST. CHARLES, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	T•••• C•••••• W••••• M••••••••• I••	Oct 4, 2018	Feb 10, 2012	-2,428	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:142728:IL:2018-10-02	Oct 4, 2018	Feb 10, 2012	ST CHARLES, IL	Firm change after gap

Relationships

Registered with (2)

→ T•••• C•••••• W••••• M••••••••• I••Registered adviserregistration: current employment
Feb 10, 2012 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Feb 1, 1998 to Oct 4, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4bed2f73-5955-5534-f21f-133efaa41f7a
First observed: Feb 1, 1998
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.