DFX Intelligence

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

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

T•••• M•••••• A•••• S••••

Advisor at W•••••• B•••• • C•••••• L•••••

CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2015 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: W•••••• B•••• • C•••••• L•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 3, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	Apr 28, 2021	n/a	yes	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 14, 2020	Apr 19, 2021	no	NEW YORK, NY\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••••• B•••• • C•••••• L•••••	Apr 19, 2021	Apr 28, 2021	9	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 26, 2019

Relationships

Registered with (4)

→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: current employment
Apr 28, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 14, 2020 to Apr 19, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 11, 2015 to Dec 26, 2019factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 7, 2015
Last observed: Sep 14, 2026 9 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.