DFX Intelligence

K•••• W•••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

K•••• W•••••• R•••••

Advisor at C••••••• S••••••••• L••

Chicago, IL

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Search this name across graphsid dfx:ria:fbbd5220-ccc0-5b20-31bf-6e0ec87021d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 7, 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: C••••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 15, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• L••	Bd affiliated wealth	Feb 14, 2022	n/a	yes	Chicago, IL	Current employment
H•••••• S••••••••• I•••	Bd affiliated wealth	Oct 19, 2015	Feb 16, 2022	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• S••••••••• I•••	C••••••• S••••••••• L••	Feb 16, 2022	Feb 14, 2022	-2	Firm change	Ibd to RIA
C•••• C••••••• L••	H•••••• S••••••••• I•••	Sep 30, 2015	Oct 19, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
127351:174020:IL:2015-01-02	Jan 2, 2015	Feb 10, 2015	CHICAGO, IL	Firm change

Relationships

Registered with (7)

→ C••••••• S••••••••• L••Registered adviserregistration: current employment
Feb 14, 2022 to presentfactForm ADV
→ H•••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 19, 2015 to Feb 16, 2022factForm ADV
→ C•••• C••••••• L••Registered adviserregistration: previous registration
Feb 10, 2015 to Sep 30, 2015factForm ADV
→ G••• H••••• F••••••••

Dated events

Occurred
Feb 16, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fbbd5220-ccc0-5b20-31bf-6e0ec87021d9
First observed: May 7, 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.