DFX Intelligence
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Registered advisor
D•••• A••• J•••••
Feed of 09/14/2026
At current firm
4 y
since Jan 26, 2022
In the industry
32 y
since Dec 10, 1993 (earliest exam, job or registration)
Prior registered firms
6
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Northbrook, Il
- T• A••••••••• I••• formerAug 15, 2017 to Oct 14, 2022 · Northbrook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 15, 2017 to Sep 7, 2023 · Northbrook, Il
- S•••••••• A••••••• L•• national BDSep 8, 2016 to Aug 8, 2017 · Highland Park, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 9, 2010 to Aug 29, 2016 · Oakbrook, Il
- T• A••••••••• I••• formerMar 9, 2010 to Aug 29, 2016 · Oak Brook, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 17, 2008 to Mar 9, 2010 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Aug 15, 2017 (-1886 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Aug 8, 2017, registered Aug 15, 2017 (7 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 29, 2016, registered Mar 9, 2010 (-2365 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 29, 2016, registered Mar 9, 2010 (-2365 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to T• A••••••••• I•••left Mar 9, 2010, registered Mar 9, 2010 (0 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address