DFX Intelligence

A••••• C•••• U•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)20 years in industry

A••••• C•••• U•••••

Advisor at C••••• I••••••••• A••••••• L••

LISLE, IL

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Search this name across graphsid dfx:ria:5c5adc62-9e3e-3106-309b-8477851d854d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2006 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 22, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	n/a	yes	LISLE, IL	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Dec 17, 2014	Nov 12, 2020	no	LISLE, IL\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
K•• F••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Jan 7, 2015	Dec 17, 2014

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2014 to Nov 12, 2020factForm ADV
→ K•• F••••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2006 to Jan 7, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c5adc62-9e3e-3106-309b-8477851d854d
First observed: Jan 1, 2006
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.