DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

P••• A••••• B••••••

Advisor at N••••• A•••• M••••••••• L••

CHICAGO, IL

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Search this name across graphsid dfx:ria:a5fe371d-2a4d-fc5d-2d08-479714f9b5b1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2006 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: N••••• A•••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jul 31, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••• A•••• M••••••••• L••	Mixed wealth	Sep 1, 2011	n/a	yes	CHICAGO, IL	Current employment
N••••• F••• A•••••••• L••	Asset manager	Jul 26, 2011	Sep 1, 2011	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• F••• A•••••••• L••	N••••• A•••• M••••••••• L••	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other
P••••• I••••••••• M••••••••• L••	N••••• F••• A•••••••• L••	Jun 15, 2011	Jul 26, 2011

Relationships

Registered with (3)

→ N••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Sep 1, 2011 to presentfactForm ADV
→ N••••• F••• A•••••••• L••Registered adviserregistration: previous registration
Jul 26, 2011 to Sep 1, 2011factForm ADV
→ P••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 30, 2008 to Jun 15, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5fe371d-2a4d-fc5d-2d08-479714f9b5b1
First observed: Aug 4, 2006
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.