DFX Intelligence

S•••••• T••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

S•••••• T••••• G••••

Advisor at T••••••••• F•••••••• A•••••••• L••

GLENVIEW, IL | Cedar Rapids, IA

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Search this name across graphsid dfx:ria:91f90e56-6e94-184a-17a4-84426ab3db93

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2019 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: T••••••••• F•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Aug 17, 2023	n/a	yes	Cedar Rapids, IA\|GLENVIEW, IL	Current employment
P•••• S••••••••• L••	No RAUM reported	Dec 12, 2019	Mar 31, 2020	no	Fair Oaks, CA\|NEWARK, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	T••••••••• F•••••••• A•••••••• L••	Mar 31, 2020	Aug 17, 2023	1,234	Firm change after gap	Ibd to ibd
V•••• F•••••••• A•••••••• I•••	P•••• S••••••••• L••	Dec 13, 2019	Dec 12, 2019

Relationships

Registered with (3)

→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Aug 17, 2023 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Dec 12, 2019 to Mar 31, 2020factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2019 to Dec 13, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91f90e56-6e94-184a-17a4-84426ab3db93
First observed: Jul 2, 2019
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.