DFX Intelligence

T•••••• E••••• O••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

T•••••• E••••• O••••••••

Advisor at S•••••• W••••• M••••••••• L••

BARRINGTON, IL

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Search this name across graphsid dfx:ria:a9315c26-132d-8a47-21a1-3fdeb2dfdf63

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2007 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: S•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• M••••••••• L••	Independent wealth	Jan 16, 2015	n/a	yes	BARRINGTON, IL\|BARRINGTON, IL	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jun 18, 2007	Sep 18, 2013	no	SCHAUMBURG, IL\|Deerfield, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	S•••••• W••••• M••••••••• L••	Sep 18, 2013	Jan 16, 2015	485	Firm change after gap	Other
S••••••• I••••••••• I•••	S••••••• F•••••••• S•••••••• I•••	Jun 1, 2007	Jun 18, 2007

Relationships

Registered with (3)

→ S•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 16, 2015 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 18, 2007 to Sep 18, 2013factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 17, 2007 to Jun 1, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9315c26-132d-8a47-21a1-3fdeb2dfdf63
First observed: Jan 17, 2007
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.