DFX Intelligence

S••••••• N••••••• N•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

S••••••• N••••••• N•••••••

Advisor at F••••••• W••••• A•••••••• L••

Dallas, TX | CHICAGO, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2005 to Sep 15, 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••••••• W••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 3, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• W••••• A•••••••• L••	Independent wealth	Nov 15, 2024	n/a	yes	CHICAGO, IL\|Dallas, TX	Current employment
B•••••••• W••••• P•••••••• L••	Former SEC adviser	Apr 4, 2022	Dec 31, 2023	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• W••••• P•••••••• L••	F••••••• W••••• A•••••••• L••	Dec 31, 2023	Nov 15, 2024	320	Firm change	RIA to RIA
U•• F•••••••• S••••••• I•••	B•••••••• W••••• P•••••••• L••	Apr 20, 2022	Apr 4, 2022

Relationships

Registered with (5)

→ F••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 15, 2024 to presentfactForm ADV
→ B•••••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Apr 4, 2022 to Dec 31, 2023factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
May 13, 2013 to Apr 20, 2022factForm ADV
→ M••••• S••••••

Dated events

Order

Occurred
31 Dec 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
20 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2005
Last observed: Sep 15, 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.