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

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

S•••• P•••••• C•••

Advisor at U••••••••• W••••• M••••••••• L••

Winfield, IL

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Search this name across graphsid dfx:ria:849d40a8-4523-3071-8212-a4c4f002f18c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 2, 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: U••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U••••••••• W••••• M••••••••• L••	Independent wealth	Feb 15, 2019	n/a	yes	Winfield, IL	Current employment
Q•••••• A•••• M••••••••• I•••	Former SEC adviser	Nov 30, 2017	Feb 20, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••••• A•••• M••••••••• I•••	U••••••••• W••••• M••••••••• L••	Feb 20, 2019	Feb 15, 2019	-5	Firm change	Ibd to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S••• P•••••• W••••• G••••• L••	Dec 4, 2017

Relationships

Registered with (4)

→ U••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Feb 15, 2019 to presentfactForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 30, 2017 to Feb 20, 2019factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2015 to Dec 4, 2017factForm ADV
→ S••• P•••••• W••••• G••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:849d40a8-4523-3071-8212-a4c4f002f18c
First observed: Jan 2, 2015
Last observed: Sep 14, 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.