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N•••••• I••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

N•••••• I••••• M•••••

Advisor at A••••••••• I••••••••• S•••••••• I•••

CHICAGO, IL

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Search this name across graphsid dfx:ria:9ee620ee-389c-f891-e815-22d4dad4d5aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2005 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••••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I••••••••• S•••••••• I•••	Independent wealth	Aug 22, 2012	n/a	yes	CHICAGO, IL	Current employment
D•••• A• N•••• • C••••••	Former SEC adviser	May 1, 2012	Jul 30, 2012	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
D•••• A• N•••• • C••••••	A••••••••• I••••••••• S•••••••• I•••	Jul 30, 2012	Aug 22, 2012	23	Firm change	Other
F•••• T•••• S••••••••• I•••	D•••• A• N•••• • C••••••	Feb 2, 2012

Relationships

Registered with (5)

→ A••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: current employment
Aug 22, 2012 to presentfactForm ADV
→ D•••• A• N•••• • C••••••Registered adviserregistration: previous registration
May 1, 2012 to Jul 30, 2012factForm ADV
→ F•••• T•••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 4, 2009 to Feb 2, 2012factForm ADV
→ N•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ee620ee-389c-f891-e815-22d4dad4d5aa
First observed: Feb 1, 2005
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.