DFX Intelligence

A••••• W••••• E•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor11 years in industry

A••••• W••••• E•••

Advisor at S•••••• P•••••••• L••

OAK BROOK, IL | O••••, NE

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Search this name across graphsid dfx:ria:60e7289c-a9bb-1b4a-672b-e6d0cbfde035

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 9, 2017 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: S•••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P•••••••• L••	Independent wealth	Jun 7, 2019	n/a	yes	OAK BROOK, IL\|O••••, NE	Current employment
M••••• O• O•••• I••••••• S•••••••• I•••	Independent wealth	Oct 9, 2017	May 30, 2019	no	OAKBROOK TERRACE, IL\|MOKENA, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• O• O•••• I••••••• S•••••••• I•••	S•••••• P•••••••• L••	May 30, 2019	Jun 7, 2019	8	Firm change	Other

Relationships

Registered with (2)

→ S•••••• P•••••••• L••Registered adviserregistration: current employment
Jun 7, 2019 to presentfactForm ADV
→ M••••• O• O•••• I••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 9, 2017 to May 30, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60e7289c-a9bb-1b4a-672b-e6d0cbfde035
First observed: Oct 9, 2017
Last observed: Sep 14, 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.