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••• A•••• G••••••••

L•••••• S•• I••••••••• A•••••••• L•••••BD affiliatedElmhurst, Il dual registrantIAPD 1690996

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

1 y

since Dec 20, 2024

In the industry

27 y

since Apr 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated current
since Dec 20, 2024 · Daleville, Va
S•• I••••••••• A•••••••• I••• former
Aug 20, 2013 to Dec 20, 2024 · Fresno, Ca
A•••• A•••• A••••••• former
Jan 26, 2011 to Aug 20, 2013 · San A••••Io, Tx
W•• A•••••••• L• former
Oct 15, 2010 to Nov 15, 2011 · Houston, Tx
A•••••• W••• D••••••• • B••••• I••• unclassified
Mar 19, 2009 to Oct 4, 2010 · Houston, Tx
S••••••• G•••• C•••••• unclassified
Oct 27, 1999 to Mar 18, 2009 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

S•• I••••••••• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••
left Dec 20, 2024, registered Dec 20, 2024 (0 days) · Affiliated broker-dealer or bank to another
A•••• A•••• A••••••• to S•• I••••••••• A•••••••• I•••
left Aug 20, 2013, registered Aug 20, 2013 (0 days) · Other
W•• A•••••••• L• to A•••• A•••• A•••••••
left Nov 15, 2011, registered Jan 26, 2011 (-293 days) · Other
A•••••• W••• D••••••• • B••••• I••• to W•• A•••••••• L•
left Oct 4, 2010, registered Oct 15, 2010 (11 days) · Other
S••••••• G•••• C•••••• to A•••••• W••• D••••••• • B••••• I•••
left Mar 18, 2009, registered Mar 19, 2009 (1 days) · Other

Signals

M••• A•••• G•••••••• left S•• I••••••••• A•••••••• I••• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2024-12-20)
Dec 20, 2024 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address