DFX Intelligence

I•••• E• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

I•••• E• C••••••••

Advisor at S••••• W••••• A•••••••• I•••

Chicago, IL

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Search this name across graphsid dfx:ria:b9a1caa9-6a9a-da9f-f461-4777b5e58db9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 12, 2006 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jul 12, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Jul 29, 2022	n/a	yes	Chicago, IL	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Dec 11, 2012	Jun 24, 2022	no	Chicago, IL\|CHICAGO, IL\|CHICAGO, IL\|Chicago, IL\|CARMEL, IN\|NOBLESVILLE, IN\|INDIANAPOLIS, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	S••••• W••••• A•••••••• I•••	Jun 24, 2022	Jul 29, 2022	35	Firm change	Other
C•••••• S••••• • C••• I•••	J••• M••••• S••••••••• L••	Jul 11, 2011	Dec 11, 2012

Relationships

Registered with (4)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 29, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 11, 2012 to Jun 24, 2022factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Oct 30, 2007 to Jul 11, 2011factForm ADV
→ E•••••••• A•••••••• L••

Dated events

Occurred
Jun 24, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9a1caa9-6a9a-da9f-f461-4777b5e58db9
First observed: Jul 12, 2006
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.