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

J•••• Z•••••••

E•••• S••••••••• L••BD affiliatedDowners Grove, Ildual registrantIAPD 1853986

Feed of 09/14/2026

At current firm

1 y

since Jun 18, 2025

In the industry

34 y

since Sep 16, 1992 (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

E•••• S••••••••• L•• BD affiliated current
since Jun 18, 2025 · Downers Grove, Il
P•••• S••••••••• L•• no RAUM
Jan 15, 2020 to Jul 25, 2024 · Frankfort, Il
B•••••• L••• A••••••• S•••••••• I••• BD affiliated
Oct 26, 2017 to Dec 12, 2019 · Orland Park, Il
U••• B•••••• I••••••••• I••• former
Oct 31, 2013 to Aug 2, 2017 · Burbank, Il
I••••• F•••••••• C••••••••• former
Nov 30, 2009 to Nov 4, 2013 · Summit Argo, Il
C••••••• S••••••••• I••• BD affiliated
Feb 6, 2007 to Nov 6, 2009 · Chicago, Il
L•••••• F•••••••• S•••••••• I••• unclassified
Jan 3, 2005 to Feb 26, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to E•••• S••••••••• L••
left Jul 25, 2024, registered Jun 18, 2025 (328 days) · Affiliated broker-dealer or bank to another
B•••••• L••• A••••••• S•••••••• I••• to P•••• S••••••••• L••
left Dec 12, 2019, registered Jan 15, 2020 (34 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to B•••••• L••• A••••••• S•••••••• I•••
left Aug 2, 2017, registered Oct 26, 2017 (85 days) · Other
I••••• F•••••••• C••••••••• to U••• B•••••• I••••••••• I•••
left Nov 4, 2013, registered Oct 31, 2013 (-4 days) · Other
C••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••
left Nov 6, 2009, registered Nov 30, 2009 (24 days) · Other
L•••••• F•••••••• S•••••••• I••• to C••••••• S••••••••• I•••
left Feb 26, 2007, registered Feb 6, 2007 (-20 days) · Other

Signals

J•••• Z••••••• left P•••• S••••••••• L•• for E•••• S••••••••• L•• (registered 2025-06-18)
Jul 25, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address