DFX Intelligence

L••••• G••••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

L••••• G••••• H••••••

Advisor at S•••••••• A•••••••• L••

NORTHBROOKE, IL

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Search this name across graphsid dfx:ria:fc9a1c14-1040-3060-5f2f-317cfc748ef4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2007 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: S•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 29, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Nov 6, 2015	n/a	yes	NORTHBROOKE, IL	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Sep 17, 2012	Nov 17, 2015	no	CHICAGO, IL\|LAKE FORREST, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	S•••••••• A•••••••• L••	Nov 17, 2015	Nov 6, 2015	-11	Firm change	Other
W••••••• I•••••••••	O••••••••• • C•• I•••	Oct 12, 2012	Sep 17, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
249:226606:IL:2015-11-17	Nov 17, 2015	Nov 6, 2015	LAKE FORREST, IL	Firm change

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 6, 2015 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Sep 17, 2012 to Nov 17, 2015factForm ADV
→ W••••••• I•••••••••Registered adviserregistration: previous registration
Oct 4, 2007 to Oct 12, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc9a1c14-1040-3060-5f2f-317cfc748ef4
First observed: Oct 4, 2007
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.