DFX Intelligence

C•••••• F••••••• O••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)42 years in industry

C•••••• F••••••• O••••••

Advisor at I•• W••••• M••••••••• L••

CHICAGO, IL | Tampa,, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2003 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: I•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 16, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•• W••••• M••••••••• L••	Bd affiliated wealth	Jun 24, 2026	n/a	yes	CHICAGO, IL\|Tampa,, FL	Current employment
S••••• F•••••••• G•••• I••	Former SEC adviser	Jul 8, 2011	Nov 5, 2018	no	TAMPA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	I•• W••••• M••••••••• L••	Nov 5, 2018	Jun 24, 2026	2,788	Firm change after gap	Ibd to ibd
A••••••• C•••• F•••••••• C••••••••• I••	S••••• F•••••••• G•••• I••	Dec 31, 2008	Jul 8, 2011

Relationships

Registered with (3)

→ I•• W••••• M••••••••• L••Registered adviserregistration: current employment
Jun 24, 2026 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Jul 8, 2011 to Nov 5, 2018factForm ADV
→ A••••••• C•••• F•••••••• C••••••••• I••Registered adviserregistration: previous registration
Jun 16, 2003 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 16, 2003
Last observed: Sep 15, 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.