DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)44 years in industry

P•••• A•••••• L••••

Advisor at G••••• R••••••••• P••••••• L••

Northbrook, IL | SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:a0df033c-7436-fafc-45ce-d00f9696dad6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2010 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: G••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Dec 28, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Jul 4, 2022	n/a	yes	Northbrook, IL\|SAN RAFAEL, CA	Current employment
S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	Former SEC adviser	Feb 19, 2019	Oct 25, 2022	no	NORTHBROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	G••••• R••••••••• P••••••• L••	Oct 25, 2022	Jul 4, 2022	-113	Channel change	Other
T•• L• W••••• C••••••••• I••	S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••	Jun 8, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
293807:172011:IL:2022-10-11	Oct 25, 2022	Jul 4, 2022	NORTHBROOK, IL	Firm change after gap

Relationships

Registered with (3)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Jul 4, 2022 to presentfactForm ADV
→ S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••Registered adviserregistration: previous registration
Feb 19, 2019 to Oct 25, 2022factForm ADV
→ T•• L• W••••• C••••••••• I••Registered adviserregistration: previous registration
Mar 26, 2010 to Jun 8, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0df033c-7436-fafc-45ce-d00f9696dad6
First observed: Mar 26, 2010
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.