DFX Intelligence

C••••••••• M• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

C••••••••• M• G••••••

Advisor at I•• W••••• M••••••••• L••

Covington, KY | CHICAGO, IL

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Search this name across graphsid dfx:ria:85ed659a-373b-5400-c058-2dc82b71991f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2004 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: I•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 25, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	May 25, 2024	n/a	yes	CHICAGO, IL\|Covington, KY	Current employment
B• R•••• W••••• M•••••••••	Former SEC adviser	Apr 29, 2011	Apr 8, 2019	no	Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• M•••••••••	I•• W••••• M••••••••• L••	Apr 8, 2019	May 25, 2024	1,874	Firm change after gap	Ibd to ibd
M••••• S••••••	B• R•••• W••••• M•••••••••	May 5, 2011	Apr 29, 2011

Relationships

Registered with (5)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
May 25, 2024 to presentfactForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 29, 2011 to Apr 8, 2019factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 5, 2011factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85ed659a-373b-5400-c058-2dc82b71991f
First observed: Mar 29, 2004
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.