DFX Intelligence

R•••• P•••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R•••• P•••• K••••••

Advisor at N••••• A•••• M••••••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:95fe8141-dfdb-dd32-5d85-980d73afcf3c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 7, 2004 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: N••••• A•••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jan 19, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• A•••• M••••••••• L••	Mixed wealth	Sep 1, 2011	n/a	yes	CHICAGO, IL	Current employment
N••••• F••• A•••••••• L••	Asset manager	Dec 7, 2004	Sep 1, 2011	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• F••• A•••••••• L••	N••••• A•••• M••••••••• L••	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other

Relationships

Registered with (2)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Sep 1, 2011 to presentfactForm ADV
→ N••••• F••• A•••••••• L••Registered adviserregistration: previous registration
Dec 7, 2004 to Sep 1, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95fe8141-dfdb-dd32-5d85-980d73afcf3c
First observed: Dec 7, 2004
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.