DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R••• P••• L••••••••

Advisor at C••• P•••••• W••••• A•••••••• I•••

Chicago, IL

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 21, 2013 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: C••• P•••••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• P•••••• W••••• A•••••••• I•••	Bd affiliated wealth	Jan 14, 2025	n/a	yes	Chicago, IL	Current employment
S•• I••••••••• M••••••••• C•••	Mixed wealth	Aug 14, 2023	Oct 22, 2024	no	OAKS, PA\|HINSDALE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• M••••••••• C•••	C••• P•••••• W••••• A•••••••• I•••	Oct 22, 2024	Jan 14, 2025	84	Firm change	Other
O•••• P•••••••• S••••••••• L••	S•• I••••••••• M••••••••• C•••	Jun 5, 2023	Aug 14, 2023

Relationships

Registered with (5)

→ C••• P•••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jan 14, 2025 to presentfactForm ADV
→ S•• I••••••••• M••••••••• C•••Registered adviserregistration: previous registration
Aug 14, 2023 to Oct 22, 2024factForm ADV
→ O•••• P•••••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 17, 2023 to Jun 5, 2023factForm ADV
→ O•••• P•••••••• S••••••••• L••

Dated events

Order

Occurred
22 Oct 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
5 Jun 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 21, 2013
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.