DFX Intelligence

P••• M•••••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner17 years in industry

P••• M•••••• B•••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | St. Charles, IL

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Search this name across graphsid dfx:ria:f7f10616-38c6-0b38-6f13-f71fa3e780c2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2015 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 6, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Apr 6, 2023	n/a	yes	St. Charles, IL\|ROCKFORD, IL	Current employment
P••••• M•••• F•••••••• A•••••••	Independent wealth	Jan 3, 2017	Mar 15, 2023	no	Chicago, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••• M•••• F•••••••• A•••••••	S••••• W••••• M•••••••••	Mar 15, 2023	Apr 6, 2023	22	Firm change	RIA to RIA
L••••••• W••••• M••••••••• L••	P••••• M•••• F•••••••• A•••••••	Dec 31, 2017	Jan 3, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
153073:112158:IL:2017-12-31	Dec 31, 2017	Jan 3, 2017	GLEN ELLYN, IL	Firm change after gap

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 6, 2023 to presentfactForm ADV
→ P••••• M•••• F•••••••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2017 to Mar 15, 2023factForm ADV
→ L••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 18, 2015 to Dec 31, 2017factForm ADV

Dated events

Occurred
Mar 15, 2023
Advisor changed firm
P••• M•••••• B••• left P••••• M•••• F•••••••• A••••••• for S••••• W••••• M••••••••• (registered 2023-04-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7f10616-38c6-0b38-6f13-f71fa3e780c2
First observed: Sep 18, 2015
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.