DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

D•••• L••••••• D••••

Advisor at C••••• I••••••••• A••••••• L••

NORTHBROOK, IL

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Search this name across graphsid dfx:ria:8aa3735f-16d9-1c34-83e0-99518bbae65e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 13, 2003 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 24, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 16, 2024	n/a	yes	NORTHBROOK, IL	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Aug 6, 2012	Sep 17, 2024	no	FRESNO, CA\|Northbrook, IL\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 17, 2024	Sep 16, 2024	-1	Firm change	Ibd to ibd
B••••••••• L••	S•• I••••••••• A•••••••• I•••	Aug 6, 2012	Aug 6, 2012

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 16, 2024 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 6, 2012 to Sep 17, 2024factForm ADV
→ B••••••••• L••Registered adviserregistration: previous registration
Dec 4, 2007 to Aug 6, 2012factForm ADV
→ F•••••••• W••• G••••

Dated events

Occurred
Sep 17, 2024
Advisor changed firm
D•••• L••••••• D•••• left S•• I••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-09-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8aa3735f-16d9-1c34-83e0-99518bbae65e
First observed: Nov 13, 2003
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.