DFX Intelligence

R••• D•••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

R••• D•••• F•••••

Advisor at R•••••••• A•••• M•••••••••

MENLO PARK, CA | Minooka, IL

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Search this name across graphsid dfx:ria:85537d89-c46c-5a4b-f4b9-38588ee418e3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2009 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: R•••••••• A•••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 16, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••••• A•••• M•••••••••	Bd affiliated wealth	Sep 8, 2026	n/a	yes	Minooka, IL\|MENLO PARK, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 19, 2013	Feb 5, 2014	no	ORLAND PARK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	R•••••••• A•••• M•••••••••	Feb 5, 2014	Sep 8, 2026	4,598	Firm change after gap	Other
W•••••• • R•••	C••••• I••••••••• A••••••• L••	Apr 29, 2011	Apr 19, 2013

Relationships

Registered with (3)

→ R•••••••• A•••• M•••••••••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 19, 2013 to Feb 5, 2014factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Nov 16, 2009 to Apr 29, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85537d89-c46c-5a4b-f4b9-38588ee418e3
First observed: Nov 16, 2009
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.