DFX Intelligence

P•••••• A••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P•••••• A••••• G•••••

Advisor at A•••••• F••••••••• I•••

FOUNTAIN HILLS, AZ | Crystal Lake, IL

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Search this name across graphsid dfx:ria:9669df8b-fc8d-dfff-ef42-5705d6e2e735

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 13, 2004 to Sep 15, 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: A•••••• F••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••• F••••••••• I•••	Independent wealth	Apr 12, 2019	n/a	yes	Crystal Lake, IL\|FOUNTAIN HILLS, AZ	Current employment
T•• A•••••••• I•••	Bd affiliated wealth	May 7, 2013	Oct 16, 2018	no	LAKE IN THE HILLS, IL\|SUMMIT, NJ\|SCHAUMBURG, IL\|LAKE IN THE HILLS, IL\|ARLINGTON HEIGHTS, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• A•••••••• I•••	A•••••• F••••••••• I•••	Oct 16, 2018	Apr 12, 2019	178	Firm change	Ibd to RIA
P•••• S••••••••• L••	T•• A•••••••• I•••	Jul 26, 2011	May 7, 2013

Relationships

Registered with (3)

→ A•••••• F••••••••• I•••Registered adviserregistration: current employment
Apr 12, 2019 to presentfactForm ADV
→ T•• A•••••••• I•••Registered adviserregistration: previous registration
May 7, 2013 to Oct 16, 2018factForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Dec 13, 2004 to Jul 26, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9669df8b-fc8d-dfff-ef42-5705d6e2e735
First observed: Dec 13, 2004
Last observed: Sep 15, 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.