DFX Intelligence

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

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RIA / WealthAdvisor12 years in industry

N••••• R• M•••••••

Advisor at I•• W••••• M••••••••• L••

CHICAGO, IL | Northbrook, IL

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Search this name across graphsid dfx:ria:6f231df6-1ceb-90cd-9d53-3a1fb66376b6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 2, 2015 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: I•• W••••• M••••••••• L••
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: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	Mar 21, 2025	n/a	yes	CHICAGO, IL\|Northbrook, IL	Current employment
A••••••• C•••••• P•••••••	Former SEC adviser	Dec 9, 2020	May 9, 2025	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• C•••••• P•••••••	I•• W••••• M••••••••• L••	May 9, 2025	Mar 21, 2025	-49	Firm change after gap	RIA to ibd
A•• A•••••••	A••••••• C•••••• P•••••••	Dec 31, 2020	Dec 9, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
298796:311163:IL:2020-12-21	Dec 31, 2020	Dec 9, 2020	CHICAGO, IL	Firm change
146759:298796:CA:2018-12-31	Dec 31, 2018	Jan 2, 2019	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (5)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 21, 2025 to presentfactForm ADV
→ A••••••• C•••••• P•••••••Registered adviserregistration: previous registration
Dec 9, 2020 to May 9, 2025factForm ADV
→ A•• A•••••••Registered adviserregistration: previous registration
Jan 2, 2019 to Dec 31, 2020factForm ADV
→ F••• P•••• C•••••• P••••••• L••Registered adviser

Dated events

Occurred
May 9, 2025
Advisor changed firm
N••••• R• M••••••• left A••••••• C•••••• P••••••• for I•• W••••• M••••••••• L•• (registered 2025-03-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f231df6-1ceb-90cd-9d53-3a1fb66376b6
First observed: Feb 2, 2015
Last observed: Sep 15, 2026 7 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.