DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

P••••• M•••••• C•••••

Advisor at C•••••• S••••• • C••• I•••

Chicago, IL

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Search this name across graphsid dfx:ria:ce5dfad1-cf06-e73c-f421-2d26e33f2bb1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2009 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 31, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Oct 4, 2022	n/a	yes	Chicago, IL	Current employment
T• A••••••••• I•••	Former SEC adviser	May 3, 2021	Oct 14, 2022	no	CHICAGO, IL\|Chicago, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	C•••••• S••••• • C••• I•••	Oct 14, 2022	Oct 4, 2022	-10	Channel change	Other
T•••••••• A•••••••• I•••	T• A••••••••• I•••	May 11, 2021	May 3, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
7870:5393:IL:2022-10-10	Oct 14, 2022	Oct 4, 2022	CHICAGO, IL	Firm change
153744:7870:IL:2021-05-11	May 11, 2021	May 3, 2021	CHICAGO, IL	Firm change

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Oct 4, 2022 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
May 3, 2021 to Oct 14, 2022factForm ADV
→ T•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 16, 2010 to May 11, 2021factForm ADV
→ T••••••••• A•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce5dfad1-cf06-e73c-f421-2d26e33f2bb1
First observed: Nov 17, 2009
Last observed: Sep 14, 2026 9 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.