DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

R••• L• L•••••••••

M••••••••• I••••••••• M••••••••• L••mixed wealthChicago, Il IA-onlyIAPD 1248822

Feed of 09/15/2026

Also filed as Risa L Rowe

At current firm

1 y

since Jan 7, 2025

In the industry

26 y

since Sep 14, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••••• I••••••••• M••••••••• L•• mixed wealth current
since Jan 7, 2025 · St. Augustine, Fl
M••••••••• I••••••••• S••••••• L•• former
Jan 24, 2023 to Jan 7, 2025 · St. Augustine, Fl
S•••••••• A•••••••• L•• BD affiliated
Feb 9, 2022 to Mar 11, 2022 · Miami, Fl
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Oct 11, 2019 to May 25, 2021 · Barrington Hills, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 19, 2006 to Aug 3, 2009 · Deer Park, Il
O•••• F•• I••• former
Jun 13, 2003 to Dec 11, 2006 · Fort Wayne, In
B••• O•• S••••••••• C••••••••• unclassified
Jul 31, 2002 to Nov 26, 2002 · Lake Zurich, Il
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 13, 2000 to Jul 26, 2002 · Barrington, Il

Moves

a registration end followed by a registration begin elsewhere

M••••••••• I••••••••• S••••••• L•• to M••••••••• I••••••••• M••••••••• L••
left Jan 7, 2025, registered Jan 7, 2025 (0 days) · RIA to RIA
S•••••••• A•••••••• L•• to M••••••••• I••••••••• S••••••• L••
left Mar 11, 2022, registered Jan 24, 2023 (319 days) · Affiliated broker-dealer or bank to independent RIA
T••••••••• R••••••••• A•••••••• L•• to S•••••••• A•••••••• L••
left May 25, 2021, registered Feb 9, 2022 (260 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• R••••••••• A•••••••• L••
left Aug 3, 2009, registered Oct 11, 2019 (3721 days) · Wirehouse to affiliated broker-dealer or bank
O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 11, 2006, registered Dec 19, 2006 (8 days) · Other
B••• O•• S••••••••• C••••••••• to O•••• F•• I•••
left Nov 26, 2002, registered Jun 13, 2003 (199 days) · Other
C•••••••• G••••• M•••••• I••• to B••• O•• S••••••••• C•••••••••
left Jul 26, 2002, registered Jul 31, 2002 (5 days) · Other

Signals

R••• L• L••••••••• left M••••••••• I••••••••• S••••••• L•• for M••••••••• I••••••••• M••••••••• L•• (registered 2025-01-07)
Jan 7, 2025 · Advisor changed firm · fact
R••• L• L••••••••• left S•••••••• A•••••••• L•• for M••••••••• I••••••••• S••••••• L•• (registered 2023-01-24)
Mar 11, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wealth manager with institutional or fund businessderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address