DFX Intelligence

K•••••• S•••• D•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)22 years in industry

K•••••• S•••• D•••••••

Advisor at B••••••• F• E•••••• • C••••••• I•••••••••

WHEATON, IL | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:fd865a42-8c12-b88e-ac99-2b621825a95a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2003 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: B••••••• F• E•••••• • C••••••• I•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 10, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••••• F• E•••••• • C••••••• I•••••••••	Bd affiliated wealth	Mar 28, 2022	n/a	yes	ST. LOUIS, MO\|WHEATON, IL	Current employment
B•••••• S•••• S•••••••• L••	Former SEC adviser	Aug 1, 2008	Jul 20, 2012	no	NAPERVILLE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••• S•••• S•••••••• L••	B••••••• F• E•••••• • C••••••• I•••••••••	Jul 20, 2012	Mar 28, 2022	3,538	Firm change after gap	Other
F•••••• S••••••••• G•••• L•••••	B•••••• S•••• S•••••••• L••	Aug 7, 2006	Aug 1, 2008

Relationships

Registered with (3)

→ B••••••• F• E•••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 28, 2022 to presentfactForm ADV
→ B•••••• S•••• S•••••••• L••Registered adviserregistration: previous registration
Aug 1, 2008 to Jul 20, 2012factForm ADV
→ F•••••• S••••••••• G•••• L•••••Registered adviserregistration: previous registration
Oct 13, 2003 to Aug 7, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd865a42-8c12-b88e-ac99-2b621825a95a
First observed: Oct 13, 2003
Last observed: Sep 14, 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.