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

M•••• N••••••• P•••••••

U•• F•••••••• S••••••• I•••wirehouseChicago, Il dual registrantIAPD 1675580

Feed of 09/14/2026

At current firm

9 y

since Dec 19, 2016

In the industry

28 y

since Feb 10, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Dec 19, 2016 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 25, 2013 to Jun 20, 2016 · Chicago, Il
O••••••••• A•••• M••••••••• BD affiliated
Apr 15, 2003 to Nov 12, 2007 · New York, Ny
O••••••••• • C•• I••• BD affiliated
Jan 3, 2003 to Jun 17, 2013 · Chicago, Il
C••• W•••• M•••••• C•••• unclassified
Aug 9, 2001 to Jan 3, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
left Jun 20, 2016, registered Dec 19, 2016 (182 days) · Affiliated broker-dealer or bank to wirehouse
O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••
left Jun 17, 2013, registered Apr 15, 2003 (-3716 days) · Other
O••••••••• A•••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 12, 2007, registered Oct 25, 2013 (2174 days) · Other
C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move

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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address