DFX Intelligence

T•••••• V••••• K•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

T•••••• V••••• K•••••

Advisor at R•• C•••••• M••••••• L••

Lake Forest, IL | Grayslake, IL

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Search this name across graphsid dfx:ria:e976828e-a3f0-63b1-6d59-35184b76729f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 29, 2007 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 28, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Aug 26, 2021	n/a	yes	Lake Forest, IL\|Grayslake, IL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Nov 25, 2008	Aug 27, 2021	no	LAKE FOREST, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•• C•••••• M••••••• L••	Aug 27, 2021	Aug 26, 2021	-1	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 3, 2008	Nov 25, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:31194:IL:2021-08-27	Aug 27, 2021	Aug 26, 2021	LAKE FOREST, IL	Firm change

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Aug 26, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 25, 2008 to Aug 27, 2021factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Aug 29, 2007 to Dec 3, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e976828e-a3f0-63b1-6d59-35184b76729f
First observed: Aug 29, 2007
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.