DFX Intelligence

S•••• H••••• N••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst31 years in industry

S•••• H••••• N••••••

Advisor at C••• P•••••• W••••• A•••••••• I•••

CHICAGO, IL

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Search this name across graphsid dfx:ria:89c04fbd-f4df-2b8b-9629-acfbd1227578

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 17, 2000 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: C••• P•••••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 2, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom 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
C••• P•••••• W••••• A•••••••• I•••	Bd affiliated wealth	Jul 16, 2024	n/a	yes	CHICAGO, IL	Current employment
C••••••	Independent wealth	Mar 31, 2023	Jul 12, 2024	no	MIAMI, FL\|CHICAGO, IL\|NAPLES, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••	C••• P•••••• W••••• A•••••••• I•••	Jul 12, 2024	Jul 16, 2024	4	Firm change	RIA to ibd
S••••• B••••• • H•••••	C••••••	Dec 14, 2023	Mar 31, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
106505:319448:FL:2023-12-14	Dec 14, 2023	Mar 31, 2023	NAPLES, FL	Firm change after gap

Relationships

Registered with (5)

→ C••• P•••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 16, 2024 to presentfactForm ADV
→ C••••••Registered adviserregistration: previous registration
Mar 31, 2023 to Jul 12, 2024factForm ADV
→ S••••• B••••• • H•••••Registered adviserregistration: previous registration
Nov 6, 2015 to Dec 14, 2023factForm ADV
→ T•••• I••••••••• C•••••• L••

Dated events

Occurred
Jul 12, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89c04fbd-f4df-2b8b-9629-acfbd1227578
First observed: Oct 17, 2000
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.