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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

R••••• B•••• G•••••

Advisor at A•••• W••••• A•••••••• L••

Park Ridge, IL

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Search this name across graphsid dfx:ria:b3044230-0665-e00a-22e2-cc6c94bd9b16

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 13, 2011 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: A•••• W••••• A•••••••• L••
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: Aug 28, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom 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
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Mar 17, 2020	n/a	yes	Park Ridge, IL	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 8, 2017	Mar 12, 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
S••••••••• A•••••• A•••••••• I•••	A•••• W••••• A•••••••• L••	Mar 12, 2020	Mar 17, 2020	5	Firm change	Ibd to ibd
P•••••••• A•••••••	S••••••••• A•••••• A•••••••• I•••	Oct 23, 2017

Relationships

Registered with (4)

→ A•••• W••••• A•••••••• L••Registered adviserregistration: previous registration
May 7, 2014 to Dec 8, 2014factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 8, 2017 to Mar 12, 2020factForm ADV
→ P•••••••• A•••••••Registered adviserregistration: previous registration
Jul 25, 2016 to Oct 23, 2017factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3044230-0665-e00a-22e2-cc6c94bd9b16
First observed: Sep 13, 2011
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.