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

H••••• L••• H•••••

O••••••••• • C•• I•••BD affiliatedNiles, Il dual registrantIAPD 1329982

Feed of 09/15/2026

Also filed as H••••• L••• H•••••

At current firm

0 y

since May 15, 2026

In the industry

41 y

since Jan 23, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O••••••••• • C•• I••• BD affiliated current
since May 15, 2026 · Chicago, Il
L•• F•••••••• L•• BD affiliated
Apr 24, 2026 to May 15, 2026 · Lisle, Il
O••••••••• • C•• I••• BD affiliated
Feb 13, 2019 to Apr 24, 2026 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
May 2, 2018 to Feb 13, 2019 · Chicago, Il
R•• C•••••• M••••••• L•• national BD
May 5, 2008 to May 8, 2018 · Chicago, Il
C•••• I••••••••• S••••••• C•••• former
Sep 18, 2006 to May 2, 2008 · Highland Park, Il
L•••••• F•••••••• S•••••••• I••• unclassified
Jul 27, 2004 to Sep 6, 2006 · Skokie, Il
L•••••• F•••••••• S•••••••• I••• unclassified
Apr 17, 2002 to Apr 13, 2004 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 22, 2001 to Apr 5, 2002 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to O••••••••• • C•• I•••
left May 15, 2026, registered May 15, 2026 (0 days) · Affiliated broker-dealer or bank to another
O••••••••• • C•• I••• to L•• F•••••••• L••
left Apr 24, 2026, registered Apr 24, 2026 (0 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to O••••••••• • C•• I•••
left Feb 13, 2019, registered Feb 13, 2019 (0 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 8, 2018, registered May 2, 2018 (-6 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to R•• C•••••• M••••••• L••
left May 2, 2008, registered May 5, 2008 (3 days) · Other
L•••••• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
left Sep 6, 2006, registered Sep 18, 2006 (12 days) · Other
A••••••••• F•••••••• S•••••••• L•• to L•••••• F•••••••• S•••••••• I•••
left Apr 5, 2002, registered Apr 17, 2002 (12 days) · Other

Signals

H••••• L••• H••••• left L•• F•••••••• L•• for O••••••••• • C•• I••• (registered 2026-05-15)
May 15, 2026 · Advisor changed firm · fact
H••••• L••• H••••• left O••••••••• • C•• I••• for L•• F•••••••• L•• (registered 2026-04-24)
Apr 24, 2026 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address