DFX Intelligence

T••••• R••••• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

T••••• R••••• C••••••••

Advisor at R•••••••• S•••••••

North Barrington, IL | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:b68827b9-2233-6a8f-0c94-589af79b26ff

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 12, 1998 to Sep 15, 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: R•••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 16, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••••• S•••••••	Independent wealth	Oct 7, 2024	n/a	yes	North Barrington, IL\|SAN FRANCISCO, CA	Current employment
C••• W••••• M••••••••• I•••	Former SEC adviser	Jan 15, 2013	Oct 25, 2024	no	NORTH BARRINGTON, IL\|HAWTHORN WOODS, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• W••••• M••••••••• I•••	R•••••••• S•••••••	Oct 25, 2024	Oct 7, 2024	-18	Firm change	RIA to RIA
L•• F•••••••• L••	C••• W••••• M••••••••• I•••	Jan 28, 2013	Jan 15, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
165901:289977:IL:2024-10-25	Oct 25, 2024	Oct 7, 2024	HAWTHORN WOODS, IL	Firm change

Relationships

Registered with (3)

→ R•••••••• S•••••••Registered adviserregistration: current employment
Oct 7, 2024 to presentfactForm ADV
→ C••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 15, 2013 to Oct 25, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 12, 1998 to Jan 28, 2013factForm ADV

Dated events

Occurred
Oct 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b68827b9-2233-6a8f-0c94-589af79b26ff
First observed: Apr 12, 1998
Last observed: Sep 15, 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.