DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

D••••• C••••••••• F••••

Advisor at M••••• S••••••

Chicago, IL

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Search this name across graphsid dfx:ria:89df0b73-93db-7fd0-7f57-f052714a71f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2009 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 8, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Sep 5, 2023	n/a	yes	Chicago, IL	Current employment
E•••••• C•••••• M••••••••• L••	Former SEC adviser	Apr 14, 2009	Sep 5, 2023	no	ARLINGTON, VA\|CHICAGO, IL\|Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• C•••••• M••••••••• L••	M••••• S••••••	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse

Relationships

Registered with (2)

→ M••••• S••••••Registered adviserregistration: current employment
Sep 5, 2023 to presentfactForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 14, 2009 to Sep 5, 2023factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89df0b73-93db-7fd0-7f57-f052714a71f6
First observed: Apr 14, 2009
Last observed: Sep 14, 2026 9 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.