DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst33 years in industry

N••••• S••••••••

Advisor at C•••••• A•••• M••••••••• L••

CHICAGO, IL | Houston, TX

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Search this name across graphsid dfx:ria:76166902-bfe3-000b-7f57-f999f3f31338

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 28, 1998 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: C•••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••• M••••••••• L••	Independent wealth	Mar 15, 2019	n/a	yes	CHICAGO, IL\|Houston, TX	Current employment
E••••••• A•••••••	Former SEC adviser	Jul 28, 1998	Apr 22, 2019	no	Schaumburg, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• A•••••••	C•••••• A•••• M••••••••• L••	Apr 22, 2019	Mar 15, 2019	-38	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
106269:288566:IL:2019-04-22	Apr 22, 2019	Mar 15, 2019	SCHAUMBURG, IL	Firm change after gap

Relationships

Registered with (2)

→ C•••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Mar 15, 2019 to presentfactForm ADV
→ E••••••• A•••••••Registered adviserregistration: previous registration
Jul 28, 1998 to Apr 22, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76166902-bfe3-000b-7f57-f999f3f31338
First observed: Jul 28, 1998
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.