DFX Intelligence

C••••••••• M•••••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

C••••••••• M•••••• P••••

Advisor at S••••••••• W••••• M••••••••• L••

OAK BROOK, IL

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Search this name across graphsid dfx:ria:bcc727d3-2f50-1753-7acc-2929cbc64f2a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2001 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••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 16, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••• P•••• C••••••• L••	Independent wealth	Jan 3, 2017	n/a	yes	OAK BROOK, IL	Current employment
S••••••••• W••••• M••••••••• L••	Independent wealth	Dec 14, 2016	n/a	yes	OAK BROOK, IL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••••••••• W••••• M••••••••• L••	Dec 2, 2016	Dec 14, 2016	12	Firm change	Ibd to RIA
S••••••• F•••••••• S•••••••• I•••	C••••••••• F•••••••• N••••••	Jan 4, 2011	Jan 3, 2011

Relationships

Registered with (5)

→ T••• P•••• C••••••• L••Registered adviserregistration: current employment
Jan 3, 2017 to presentfactForm ADV
→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Dec 14, 2016 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Dec 2, 2016factForm ADV
→ S••••••• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bcc727d3-2f50-1753-7acc-2929cbc64f2a
First observed: Mar 12, 2001
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.