DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)13 years in industry

C•••• A• F•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Western Springs, IL | Chesterland, OH

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Search this name across graphsid dfx:ria:68a39466-c878-47bb-35bc-0539d4d62ba9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 27, 2013 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 29, 2021	n/a	yes	Chesterland, OH\|Western Springs, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 27, 2013	Aug 18, 2021	no	CHESTERLAND, OH\|WESTERN SPRINGS, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Aug 18, 2021	Jul 29, 2021	-20	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 29, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 27, 2013 to Aug 18, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68a39466-c878-47bb-35bc-0539d4d62ba9
First observed: Jun 27, 2013
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.