DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)31 years in industry

D•••• E•••••• S••••••

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

Downers Grove, IL | DEERFIELD, IL

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Search this name across graphsid dfx:ria:9689253a-d05a-0737-5aec-cad8d982daa7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 11, 2001 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: A•••• I••••••••• A•••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• I••••••••• A•••••••• L••	Mixed wealth	Nov 3, 2017	n/a	yes	DEERFIELD, IL\|Downers Grove, IL	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	May 11, 2001	Nov 2, 2017	no	Downers Grove, IL\|OAKBROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	A•••• I••••••••• A•••••••• L••	Nov 2, 2017	Nov 3, 2017	1	Bulk transfer	Other

Relationships

Registered with (2)

→ A•••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 3, 2017 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 11, 2001 to Nov 2, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9689253a-d05a-0737-5aec-cad8d982daa7
First observed: May 11, 2001
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.