DFX Intelligence

R•••••• F•••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorPersonal Financial Specialist49 years in industry

R•••••• F•••• B•••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Dover, DE

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Search this name across graphsid dfx:ria:645ac1ef-f64a-7fc3-a981-915080aa150d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2001 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1977earliest registration or exam on IAPD
Years in industry: 49derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Jul 25, 2023	n/a	yes	Dover, DE\|ROCKFORD, IL	Current employment
W••••• M••••••••• G••••	Former SEC adviser	Jun 11, 2001	Aug 18, 2023	no	DOVER, DE\|DOVER, DE	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• M••••••••• G••••	S••••• W••••• M•••••••••	Aug 18, 2023	Jul 25, 2023	-24	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
113051:107271:DE:2023-08-18	Aug 18, 2023	Jul 25, 2023	DOVER, DE	Firm change

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Jul 25, 2023 to presentfactForm ADV
→ W••••• M••••••••• G••••Registered adviserregistration: previous registration
Jun 11, 2001 to Aug 18, 2023factForm ADV

Dated events

Occurred
Aug 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:645ac1ef-f64a-7fc3-a981-915080aa150d
First observed: Jun 11, 2001
Last observed: Sep 15, 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.