DFX Intelligence

L•••• M•••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

L•••• M•••• C••••

Advisor at S•••••••• A•••••••• L••

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6409c1bc-6840-4d2e-e1e7-c9629f031250

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 30, 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: S•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 22, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Aug 11, 2015	n/a	yes	CHICAGO, IL	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Apr 21, 2008	no	INDIANAPOLIS, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••••• A•••••••• L••	Apr 21, 2008	Aug 11, 2015	2,668	Firm change after gap	Other
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Aug 11, 2015 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Apr 21, 2008factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Dec 30, 1998 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6409c1bc-6840-4d2e-e1e7-c9629f031250
First observed: Dec 30, 1998
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.