DFX Intelligence
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Registered advisor
R•••• A•••••• L•••••••••
Feed of 09/14/2026
Also filed as R•••• A•••••• L••••••••• L•••••••••
At current firm
5 y
since Apr 14, 2021
In the industry
39 y
since Dec 3, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 14, 2021 · Deer Park, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 2013 to Apr 14, 2021 · Barrington, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2007 to Nov 4, 2013 · Deer Park, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 2, 2007 · Barrington, Il
- M••••• S•••••• D• I••• unclassifiedOct 29, 2003 to Apr 2, 2007 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 14, 2021, registered Apr 14, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 4, 2013, registered Nov 1, 2013 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2007, registered Sep 27, 2007 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address