DFX Intelligence

W•••••• V••••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

W•••••• V••••• G•••••••

Advisor at S••••• W••••• M•••••••••

Lincolnshire, IL | ROCKFORD, IL

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Search this name across graphsid dfx:ria:b98fdb68-57ed-bd13-33f8-1a1c3a450746

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2006 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Feb 20, 2020	n/a	yes	ROCKFORD, IL\|Lincolnshire, IL	Current employment
H•••• F••••••••	Former SEC adviser	Oct 7, 2014	Aug 2, 2020	no	LINCOLNSHIRE, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••• F••••••••	S••••• W••••• M•••••••••	Aug 2, 2020	Feb 20, 2020	-164	Firm change after gap	RIA to RIA
C••••• F••••••••• W••••• P•••••••• L••	H•••• F••••••••	Dec 17, 2014	Oct 7, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
153747:107271:IL:2020-08-02	Aug 2, 2020	Feb 20, 2020	LINCOLNSHIRE, IL	Firm change after gap

Relationships

Registered with (6)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Feb 20, 2020 to presentfactForm ADV
→ H•••• F••••••••Registered adviserregistration: previous registration
Oct 7, 2014 to Aug 2, 2020factForm ADV
→ C••••• F••••••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Sep 13, 2013 to Dec 17, 2014factForm ADV
→ M••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b98fdb68-57ed-bd13-33f8-1a1c3a450746
First observed: Jun 16, 2006
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.