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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

R•••• S••••

Advisor at F•••• T•••• S••••••••• I•••

ROSEMONT, IL | NORTHBROOK, IL | GLENVIEW, IL

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Search this name across graphsid dfx:ria:a3e3cc21-7494-af40-8520-194a8705d548

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 5, 2008 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: F•••• T•••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 31, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom 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
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	Jun 3, 2020	n/a	yes	ROSEMONT, IL\|NORTHBROOK, IL\|NORTHBROOK, IL\|ROSEMONT, IL\|GLENVIEW, IL	Current employment
A••••••••• I••••••••• S•••••••• I•••	Independent wealth	Mar 27, 2017	Jun 5, 2020	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
A••••••••• I••••••••• S•••••••• I•••	F•••• T•••• S••••••••• I•••	Jun 5, 2020	Jun 3, 2020	-2	Firm change	RIA to ibd
I••••••••• P••••••••• I•••	A••••••••• I••••••••• S•••••••• I•••	Mar 20, 2017

Relationships

Registered with (6)

→ F•••• T•••• S••••••••• I•••Registered adviserregistration: current employment
Jun 3, 2020 to presentfactForm ADV
→ A••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 27, 2017 to Jun 5, 2020factForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Feb 23, 2015 to Mar 20, 2017factForm ADV
→ B••••••• F• E•••••• • C••••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3e3cc21-7494-af40-8520-194a8705d548
First observed: May 5, 2008
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.