DFX Intelligence

D•••• R•••• Y••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D•••• R•••• Y••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

CHICAGO, IL | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:faf1fcb0-f8f7-50ed-699e-395acd33f380

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2012 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 8, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 4, 2015	n/a	yes	PALM BEACH GARDENS, FL\|CHICAGO, IL	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Jan 17, 2012	Dec 4, 2015	no	CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Dec 4, 2015 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 17, 2012 to Dec 4, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:faf1fcb0-f8f7-50ed-699e-395acd33f380
First observed: Jan 17, 2012
Last observed: Sep 15, 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.