DFX Intelligence

L••••••• A• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

L••••••• A• T•••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Villa Park, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e92e042b-d828-46ed-213c-aca632898ee3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2008 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 9, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jul 14, 2020	n/a	yes	Villa Park, IL	Current employment
V••• F•••••••• A•••••••• I•••	Bd affiliated wealth	Sep 6, 2019	Jun 30, 2020	no	MOKENA, IL\|HIAWATHA, IA\|CHICAGO, IL\|OAK BROOK, IL\|Villa Park, IL\|Norwalk, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••• F•••••••• A•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 30, 2020	Jul 14, 2020	14	Firm change	Ibd to ibd
P•••••••• S••••••••• I•••	V••• F•••••••• A•••••••• I•••	Sep 5, 2019	Sep 6, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
2882:134139:IA:2020-05-11	Jun 30, 2020	Jul 14, 2020	NORWALK, IA	Firm change

Relationships

Registered with (6)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 14, 2020 to presentfactForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 6, 2019 to Jun 30, 2020factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 18, 2014 to Sep 5, 2019factForm ADV
→ P••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e92e042b-d828-46ed-213c-aca632898ee3
First observed: Mar 6, 2008
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.