DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst12 years in industry

P•••••• E••••• L•••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | Lincolnshire, IL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 3
Observed: Mar 3, 2014 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

P•••••• E••••• L•••••

Private equity principal · same individual CRD

Venture Capitalidentity

P•••••• E••••• L•••••

Venture principal · same individual CRD

Real Estate Fundsidentity

P•••••• E••••• L•••••

Real estate principal · same individual CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 3, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Feb 3, 2023	n/a	yes	Lincolnshire, IL\|ROCKFORD, IL	Current employment
T•• M••••• G••••• L••	Independent wealth	Dec 4, 2017	Jul 5, 2022	no	Chicago, IL\|Chicago, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• M••••• G••••• L••	S••••• W••••• M•••••••••	Jul 5, 2022	Feb 3, 2023	213	Firm change	RIA to RIA
A•••• F••••••••	T•• M••••• G••••• L••	Sep 22, 2017	Dec 4, 2017

Relationships

Registered with (4)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Feb 3, 2023 to presentfactForm ADV
→ T•• M••••• G••••• L••Registered adviserregistration: previous registration
Dec 4, 2017 to Jul 5, 2022factForm ADV
→ A•••• F••••••••Registered adviserregistration: previous registration
Feb 5, 2015 to Sep 22, 2017factForm ADV
→ L•••••• C•••••• M••••••••• I••

Dated events

Order

Occurred
5 Jul 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 3, 2014
Last observed: Sep 14, 2026 10 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.