DFX Intelligence

Data Factory

R•••••• M• B••••: 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 / WealthAdvisorCertified Financial Planner36 years in industry

R•••••• M• B••••

Advisor at S• W••••• A•••••••

OAKBROOK TERRACE, 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:6783ac78-7594-c435-c3e0-7f424f398936

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 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: S• W••••• A•••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 9, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S• W••••• A•••••••	State registered	Sep 20, 2019	n/a	yes	OAKBROOK TERRACE, IL	Current employment
S• W••••• A•••••••	State registered	Sep 20, 2019	Dec 31, 2025	no	Schaumburg, IL\|OAKBROOK TERRACE, IL

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	S• W••••• A•••••••	Dec 8, 2014	Sep 20, 2019	1,747	Firm change after gap	Other

Relationships

Registered with (2)

→ S• W••••• A•••••••Registered adviserregistration: previous registration
Sep 20, 2019 to Dec 31, 2025factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 1, 2006 to Dec 8, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6783ac78-7594-c435-c3e0-7f424f398936
First observed: Jun 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.