DFX Intelligence

R•••• M•••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor34 years in industry

R•••• M•••••• D•••••

Advisor at E•••••• F•••••••• E••••••

OAKBROOK TERRACE, IL | TAMPA, FL

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Search this name across graphsid dfx:ria:9e21686a-6a98-a34b-96f1-136bfb689f30

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 17, 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: E•••••• F•••••••• E••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 15, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F•••••••• E••••••	Independent wealth	Sep 15, 2016	n/a	yes	TAMPA, FL\|OAKBROOK TERRACE, IL	Current employment
F•••••••• E•••••• A•••••• C•••••• L••	Former SEC adviser	Jun 2, 2015	Dec 1, 2016	no	OAK BROOK, IL\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E•••••• A•••••• C•••••• L••	E•••••• F•••••••• E••••••	Dec 1, 2016	Sep 15, 2016	-77	Bulk transfer	Other
T•• M••••• F••• S••••	F•••••••• E•••••• A•••••• C•••••• L••	Jun 4, 2015	Jun 2, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
130801:109238:IL:2015-06-04	Jun 4, 2015	Jun 2, 2015	NORTHBROOK, IL	Firm change

Relationships

Registered with (5)

→ E•••••• F•••••••• E••••••Registered adviserregistration: current employment
Sep 15, 2016 to presentfactForm ADV
→ F•••••••• E•••••• A•••••• C•••••• L••Registered adviserregistration: previous registration
Jun 2, 2015 to Dec 1, 2016factForm ADV
→ T•• M••••• F••• S••••Registered adviserregistration: previous registration
Sep 6, 2007 to Jun 4, 2015factForm ADV
→ V••••• C•••••• P•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e21686a-6a98-a34b-96f1-136bfb689f30
First observed: Jun 17, 2004
Last observed: Sep 15, 2026 7 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.