DFX Intelligence

R•••••• E••••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R•••••• E••••• B•••••

Advisor at P••••••••• S••••••••• C•••••••••

Naperville, IL

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Search this name across graphsid dfx:ria:90065d96-c88a-01b3-6713-98c0ae195b56

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 23, 1998 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: P••••••••• S••••••••• C•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 16, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• S••••••••• C•••••••••	Independent wealth	Oct 7, 2013	n/a	yes	Naperville, IL	Current employment
V•••••••• F••••••••• L••	Former SEC adviser	Feb 26, 2010	Oct 7, 2013	no	BATAVIA, IL\|LISLE, IL\|AUSTIN, TX\|LISLE, IL\|AUSTIN, TX\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•••••••• F••••••••• L••	P••••••••• S••••••••• C•••••••••	Oct 7, 2013	Oct 7, 2013	0	Firm change	Other
W•••••• • R•••	V•••••••• F••••••••• L••	Feb 8, 2010	Feb 26, 2010

Relationships

Registered with (3)

→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: current employment
Oct 7, 2013 to presentfactForm ADV
→ V•••••••• F••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2010 to Oct 7, 2013factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Jan 23, 1998 to Feb 8, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90065d96-c88a-01b3-6713-98c0ae195b56
First observed: Jan 23, 1998
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.