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L••••••• M•••••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

L••••••• M•••••• D••••

Advisor at U•••••• I••••••••• M••••••••• L•••••

SKOKIE, IL | Palm Desert, CA

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Search this name across graphsid dfx:ria:ba73f961-bc63-737d-5e14-06a029fa9977

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2001 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: U•••••• I••••••••• M••••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 13derivedfrom 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
U•••••• I••••••••• M••••••••• L•••••	Independent wealth	Sep 9, 2013	n/a	yes	Palm Desert, CA\|SKOKIE, IL	Current employment
K•••••••• C•••••• I••••••••• A••••••• L••	Independent wealth	Nov 9, 2010	Sep 30, 2013	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
K•••••••• C•••••• I••••••••• A••••••• L••	U•••••• I••••••••• M••••••••• L•••••	Sep 30, 2013	Sep 9, 2013	-21	Firm change	Other
B••••• I••••••••• A••••••• L••	K•••••••• C•••••• I••••••••• A••••••• L••	Nov 5, 2010

Relationships

Registered with (5)

→ U•••••• I••••••••• M••••••••• L•••••Registered adviserregistration: current employment
Sep 9, 2013 to presentfactForm ADV
→ K•••••••• C•••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 9, 2010 to Sep 30, 2013factForm ADV
→ B••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2010 to Nov 5, 2010factForm ADV
→ H••• B••••• C•••••• M••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba73f961-bc63-737d-5e14-06a029fa9977
First observed: Nov 16, 2001
Last observed: Sep 15, 2026 7 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.