DFX Intelligence

S•••• A•••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

S•••• A•••• W••••

Advisor at H••••••••• F•••••••• A•••••••

Melrose Park, IL | Winfield, IL

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Search this name across graphsid dfx:ria:c733ca50-82de-6a9f-6201-53a236c68bd0

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jul 30, 2001 to Sep 17, 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: H••••••••• F•••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 6, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 8, 2026	n/a	yes	Melrose Park, IL\|Winfield, IL	Current employment
H••••••••• F•••••••• A•••••••	Bd affiliated wealth	Feb 1, 2017	n/a	yes	Melrose Park, IL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	H••••••••• F•••••••• A•••••••	Feb 1, 2017	Feb 1, 2017	0	Bulk transfer	Other
F••••••••• A•••••••• I•••	L•• F•••••••• L••	Sep 18, 2013	Sep 18, 2013

Relationships

Registered with (9)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 8, 2026 to presentfactForm ADV
→ H••••••••• F•••••••• A•••••••Registered adviserregistration: current employment
Feb 1, 2017 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 18, 2013 to Feb 1, 2017factForm ADV
→ F••••••••• A•••••••• I•••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 15, 2026
S•••• A•••• W•••• added a TX registration at H••••••••• F•••••••• A•••••••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c733ca50-82de-6a9f-6201-53a236c68bd0
First observed: Jul 30, 2001
Last observed: Sep 17, 2026 5 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.