DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

P••• M••••

Advisor at F•••• T•••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:68aaab14-5ab8-fdf8-d6dd-422881d5a9ec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 2, 2006 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: F•••• T•••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 22, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	Jun 3, 2019	n/a	yes	ELMHURST, IL\|GLEN ELLYN, IL\|WHEATON, IL	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 21, 2014	May 31, 2019	no	ELMHURST, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	F•••• T•••• S••••••••• I•••	May 31, 2019	Jun 3, 2019	3	Firm change	Ibd to ibd
C••••• I••••••••• S••••••• L••	C••••• I••••••••• A••••••• L••	Jan 21, 2014	Jan 21, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:628:IL:2019-05-29	May 31, 2019	Jun 3, 2019	ELMHURST, IL	Firm change

Relationships

Registered with (4)

→ F•••• T•••• S••••••••• I•••Registered adviserregistration: current employment
Jun 3, 2019 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to May 31, 2019factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Dec 6, 2011 to Jan 21, 2014factForm ADV
→ C••••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68aaab14-5ab8-fdf8-d6dd-422881d5a9ec
First observed: Nov 2, 2006
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.