DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••• F•••••••• A•••••••• L••
Wheaton, IL | SAN DIEGO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| P••• F•••••••• A•••••••• L•• | Independent wealth | Apr 16, 2025 | n/a | yes | SAN DIEGO, CA|Wheaton, IL | Current employment |
| F•••••••• W••••• M••••••••• L•• | Former SEC adviser | Mar 6, 2020 | Jul 7, 2025 | no | WHEATON, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | P••• F•••••••• A•••••••• L•• | Jul 7, 2025 | Apr 16, 2025 | -82 | Firm change after gap | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | F•••••••• W••••• M••••••••• L•• | Mar 9, 2020 | Mar 6, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 173771:144316:IL:2025-07-07 | Jul 7, 2025 | Apr 16, 2025 | WHEATON, IL | Firm change after gap |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 9, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 9, 1998 | Jul 13, 2018 | no | OAKBROOK, IL|CHICAGO, IL | Previous registration |
| -3 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |