DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
5 y
since Aug 31, 2021
In the industry
36 y
since Sep 11, 1990 (earliest exam, job or registration)
Prior registered firms
3
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
- B•• L•• state registered currentsince Aug 31, 2021 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Aug 24, 2021 · Deerfield, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedFeb 11, 2009 to Oct 5, 2009 · Northbrook, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 30, 2001 to Feb 26, 2009 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to B•• L••left Aug 24, 2021, registered Aug 31, 2021 (7 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Feb 26, 2009, registered Feb 11, 2009 (-15 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address