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.
Feed of 09/14/2026
At current firm
12 y
since Jun 25, 2014
In the industry
40 y
since Jun 23, 1986 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Certitude Advisors, LLC former currentsince Jun 25, 2014 · Northfield, Il
- Kenilworth Asset Management, LLC formerDec 22, 2010 to Nov 24, 2014 · Chicago, Il
- Robert W. Baird & Co. Incorporated mixed wealthJan 30, 2007 to Dec 8, 2010 · Barrington Hills, Il
Moves
a registration end followed by a registration begin elsewhere
- Kenilworth Asset Management, LLC to Certitude Advisors, LLCleft Nov 24, 2014, registered Jun 25, 2014 (-152 days) · Other
- Robert W. Baird & Co. Incorporated to Kenilworth Asset Management, LLCleft Dec 8, 2010, registered Dec 22, 2010 (14 days) · Other
Signals
No dated event on this person.
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
- Former SEC-registered adviserderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address