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L•••••• M•• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

L•••••• M•• C••••••

Advisor at O•••• W•••••• I•••

WARRENVILLE, IL | FT. MYERS BEACH, FL

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Search this name across graphsid dfx:ria:e9e28b1b-a096-3450-8019-999a59e7d6a3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 16, 1999 to Sep 15, 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	FT. MYERS BEACH, FL\|WARRENVILLE, IL	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Feb 21, 2003	Jan 19, 2024	no	COAL CITY, IL\|DARIEN, IL\|LISLE, IL\|JOLIET, IL\|JOLIET, IL\|WARRENVILLE, IL\|NAPLES, FL\|NAPLES, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
W• G••••••• S••••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Dec 17, 2002	Feb 21, 2003

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 21, 2003 to Jan 19, 2024factForm ADV
→ W• G••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 16, 1999 to Dec 17, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9e28b1b-a096-3450-8019-999a59e7d6a3
First observed: May 16, 1999
Last observed: Sep 15, 2026 7 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.