DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

C••••••••• D••••• F••••••

Advisor at H•••••••• P••••••• P•••••••

Hoffman Estates, IL | DOWNERS GROVE, IL

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Search this name across graphsid dfx:ria:d8d91ad1-b760-8e33-7102-f31bdfdc1599

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2016 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: H•••••••• P••••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••••• P••••••• P•••••••	Independent wealth	Apr 10, 2025	n/a	yes	Hoffman Estates, IL\|DOWNERS GROVE, IL	Current employment
N••••••• T•••• S••••••••• I••	Bd affiliated wealth	Mar 11, 2021	Apr 8, 2025	no	CHICAGO, IL\|Chicago, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• T•••• S••••••••• I••	H•••••••• P••••••• P•••••••	Apr 8, 2025	Apr 10, 2025	2	Firm change	Ibd to RIA
W•••• F•••• A•••••••	N••••••• T•••• S••••••••• I••	Mar 11, 2021	Mar 11, 2021

Relationships

Registered with (4)

→ H•••••••• P••••••• P•••••••Registered adviserregistration: current employment
Apr 10, 2025 to presentfactForm ADV
→ N••••••• T•••• S••••••••• I••Registered adviserregistration: previous registration
Mar 11, 2021 to Apr 8, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 5, 2019 to Mar 11, 2021factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Apr 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8d91ad1-b760-8e33-7102-f31bdfdc1599
First observed: Mar 31, 2016
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.