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S•••••• W••••• M•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)45 years in industry

S•••••• W••••• M•••

Advisor at M••• I••••••••• S••••••••• I•••

NORTHFIELD, IL

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Search this name across graphsid dfx:ria:ee5111c5-0a87-97d9-422e-9b1549e3ab6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 12, 1998 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: M••• I••••••••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 28derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
M••• I••••••••• S••••••••• I•••	Independent wealth	Jul 20, 1998	n/a	yes	NORTHFIELD, IL\|NORTHFIELD, IL	Current employment
H••••••• C•••••• M••••••••• I••	Former SEC adviser	Jan 12, 1998	Dec 31, 2008	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••• C•••••• M••••••••• I••	M••• I••••••••• S••••••••• I•••	Dec 31, 2008	Jul 20, 1998	-3,817	Firm change after gap	Other

Relationships

Registered with (2)

→ M••• I••••••••• S••••••••• I•••Registered adviserregistration: current employment
Jul 20, 1998 to presentfactForm ADV
→ H••••••• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Jan 12, 1998 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee5111c5-0a87-97d9-422e-9b1549e3ab6c
First observed: Jan 12, 1998
Last observed: Sep 14, 2026 8 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.