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

R•••••• P••• S•••••••

L•• F•••••••• L••BD affiliatedNew Lenox, Il dual registrantIAPD 1870166

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

3 y

since Apr 24, 2023

In the industry

34 y

since Mar 18, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Apr 24, 2023 · New Lenox, Il
W••••••• F•••••••• S•••••••• I••• former
Jul 13, 2005 to Apr 26, 2023 · Burr Ridge, Il
E•••••••• A•••••••• L•• national BD
Jul 5, 2005 to Jul 14, 2005 · Northbrook, Il
E•••••••• A•••••••• L•• national BD
Jun 1, 2005 to Jun 30, 2005 · Oakbrook, Il
M••• S••••••••• C••••••••• unclassified
Nov 21, 2002 to Jun 1, 2005 · Oak Brook, Il

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left Apr 26, 2023, registered Apr 24, 2023 (-2 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Jul 14, 2005, registered Jul 13, 2005 (-1 days) · Other
M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••
left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move

Signals

R•••••• P••• S••••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-04-24)
Apr 26, 2023 · 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