DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

R••• S•••• M••••

Advisor at R••••••••• C•••••• M•••••••••

Poland, OH | Chicago, IL

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Search this name across graphsid dfx:ria:6c4a135e-fc23-1332-0d5d-a5780c219fcf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 12, 2016 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Aug 7, 2026	n/a	yes	Poland, OH\|Chicago, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 12, 2016	Aug 10, 2026	no	PEPPER PIKE, OH\|NEW YORK, NY\|COLUMBUS, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Aug 10, 2026	Aug 7, 2026	-3	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:291361:OH:2026-08-10	Aug 10, 2026	Aug 7, 2026	COLUMBUS, OH	Firm change

Relationships

Registered with (2)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Aug 7, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 12, 2016 to Aug 10, 2026factForm ADV

Dated events

Occurred
Aug 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c4a135e-fc23-1332-0d5d-a5780c219fcf
First observed: Sep 12, 2016
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.