DFX Intelligence

F•••••• J••••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

F•••••• J••••• F••••

Advisor at G•••••• S•••• W••••• S•••••••• L•••

DEERFIELD, IL

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Search this name across graphsid dfx:ria:abae3287-c022-b4d5-2be3-a95aeda8de70

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

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 20, 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: G•••••• S•••• W••••• S•••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••• S•••• W••••• S•••••••• L•••	Bd affiliated wealth	Feb 18, 2026	n/a	yes	DEERFIELD, IL	Current employment
A• W•••••	Former SEC adviser	Jul 9, 2014	Jun 5, 2018	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A• W•••••	G•••••• S•••• W••••• S•••••••• L•••	Jun 5, 2018	Feb 18, 2026	2,815	Firm change after gap	RIA to ibd
G•••••• S•••• W••••• S•••••••• L•••	A• W•••••	Jul 7, 2014	Jul 9, 2014

Relationships

Registered with (2)

→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Jul 20, 2007 to Jul 7, 2014factForm ADV
→ A• W•••••Registered adviserregistration: previous registration
Jul 9, 2014 to Jun 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abae3287-c022-b4d5-2be3-a95aeda8de70
First observed: Jul 20, 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.