DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

S•••• M••••••• H••••••

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

OAK BROOK, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2009 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: N••••••••• M••••• I••••••••• S•••••••••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Dec 15, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Jan 28, 2025	n/a	yes	OAK BROOK, IL	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Oct 27, 2021	Jan 25, 2024	no	VERNON HILLS, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	N••••••••• M••••• I••••••••• S•••••••••	Feb 24, 2021	Oct 27, 2021	245	Firm change	Other
N••••••••• A•••• M••••••••• L••	A••••••••• F•••••••• S•••••••• L••	Oct 24, 2017	Sep 9, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
127880:282241:IL:2015-12-31	Dec 31, 2015	Jan 4, 2016	CHICAGO, IL	Firm change

Relationships

Registered with (4)

→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Oct 27, 2021 to Jan 25, 2024factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 9, 2020 to Feb 24, 2021factForm ADV
→ N••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 4, 2016 to Oct 24, 2017factForm ADV
→ K••••• I••••••••• G••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2009
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.