DFX Intelligence

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

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RIA / WealthAdvisor20 years in industry

P•••• C••••••••• L••

Advisor at S••••• T•••• A•••••••• L••

CHICAGO, IL | NEW YORK, NY

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Search this name across graphsid dfx:ria:c719e2b9-879c-332f-fdf9-91dc47941c59

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 31, 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••••• T•••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 30, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• T•••• A•••••••• L••	Independent wealth	Jul 24, 2015	n/a	yes	CHICAGO, IL\|NEW YORK, NY	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Jan 21, 2009	Aug 8, 2015	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	S••••• T•••• A•••••••• L••	Aug 8, 2015	Jul 24, 2015	-15	Firm change	Other
L••••• B••••••• I•••	B••••••• C•••••• I•••	Oct 15, 2008	Jan 21, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
19714:220519:IL:2015-08-08	Aug 8, 2015	Jul 24, 2015	CHICAGO, IL	Firm change

Relationships

Registered with (3)

→ S••••• T•••• A•••••••• L••Registered adviserregistration: current employment
Jul 24, 2015 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Aug 8, 2015factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Aug 31, 2006 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c719e2b9-879c-332f-fdf9-91dc47941c59
First observed: Aug 31, 2006
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.