DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

E•••••••• R•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

BARRINGTON, IL

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Search this name across graphsid dfx:ria:c6926cb8-fcef-4765-8d55-5bac8034fc07

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2005 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 19, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Nov 21, 2019	n/a	yes	BARRINGTON, IL	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Nov 11, 2019	no	Barrington, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S•••••• N••••••• • C••••••• I•••••••••	Nov 11, 2019	Nov 21, 2019	10	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:793:IL:2019-11-01	Nov 11, 2019	Nov 21, 2019	BARRINGTON, IL	Firm change

Relationships

Registered with (6)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Nov 21, 2019 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 11, 2019factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 24, 2008 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6926cb8-fcef-4765-8d55-5bac8034fc07
First observed: Dec 9, 2005
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.