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S•••• N•••••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

S•••• N•••••• G•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

DOWNERS GROVE, IL | Naperville, IL

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Search this name across graphsid dfx:ria:d1436c09-6713-6dd5-9569-8134eece1c47

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2001 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 28, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 30, 2016	n/a	yes	DOWNERS GROVE, IL\|Naperville, IL	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 7, 2008	Oct 3, 2016	no	NAPERVILLE, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Oct 3, 2016	Sep 30, 2016	-3	Firm change	Wirehouse to ibd
M•••••• F••••••••• I•••	W•••• F•••• A•••••••	Apr 9, 2008	Apr 7, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:6363:IL:2016-10-03	Oct 3, 2016	Sep 30, 2016	NAPERVILLE, IL	Firm change

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 30, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 7, 2008 to Oct 3, 2016factForm ADV
→ M•••••• F••••••••• I•••Registered adviserregistration: previous registration
Apr 9, 2001 to Apr 9, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1436c09-6713-6dd5-9569-8134eece1c47
First observed: Apr 9, 2001
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.