DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P••••••• A••• M•••••••

Advisor at W•••• • A••••••••• L••

SARASOTA, FL | SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:7cdce92b-1863-3587-eb00-a8553aa6ebd9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 5, 1998 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: W•••• • A••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• • A••••••••• L••	Independent wealth	Sep 10, 2025	n/a	yes	SCHAUMBURG, IL\|SARASOTA, FL	Current employment
1••• C•••••• M••••••••• C••••••	n/a	Mar 5, 1998	Feb 12, 2003	no	SCHAUMBURG, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
1••• C•••••• M••••••••• C••••••	W•••• • A••••••••• L••	Feb 12, 2003	Sep 10, 2025	8,246	Firm change after gap	Other

Relationships

Registered with (2)

→ W•••• • A••••••••• L••Registered adviserregistration: current employment
Sep 10, 2025 to presentfactForm ADV
→ 1••• C•••••• M••••••••• C••••••Registered adviserregistration: previous registration
Mar 5, 1998 to Feb 12, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7cdce92b-1863-3587-eb00-a8553aa6ebd9
First observed: Mar 5, 1998
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.