DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

D•••• S••••• L•••••

Advisor at C••••••••• F•••••••• N••••••

Roscoe, IL | Milton, WI

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Search this name across graphsid dfx:ria:82f4c801-12cd-5093-bbb9-47f7774f95a4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 12, 2005 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 12, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
C••••••••• F•••••••• N••••••	National bd RIA	May 1, 2025	n/a	yes	Roscoe, IL\|Milton, WI	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	Apr 30, 2025	no	Roscoe, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	C••••••••• F•••••••• N••••••	Apr 30, 2025	May 1, 2025	1	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:8032:IL:2025-04-30	Apr 30, 2025	May 1, 2025	ROSCOE, IL	Firm change
13572:110518:WI:2016-11-17	Nov 17, 2016	Nov 9, 2016	MADISON, WI	Firm change

Relationships

Registered with (5)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jun 14, 2024 to Apr 30, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 9, 2016 to Jun 14, 2024factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Apr 30, 2025
A•••••• firm change
D•••• S••••• L••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-05-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82f4c801-12cd-5093-bbb9-47f7774f95a4
First observed: Aug 12, 2005
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.