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•••••• D•••• S•••••••

I•• W••••• M••••••••• L••BD affiliatedDeer Park, Il dual registrantIAPD 1921391

Feed of 09/14/2026

Also filed as M•••••• S•••••••

At current firm

0 y

since Nov 10, 2025

In the industry

25 y

since Jul 6, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•• W••••• M••••••••• L•• BD affiliated current
since Nov 10, 2025 · Chicago, Il
V••••••• A••••••• L•• mixed wealth
Jan 28, 2025 to Oct 7, 2025 · New York, Ny
V••••••• A••••••• L•• mixed wealth
Oct 8, 2024 to Dec 31, 2024 · New York, Ny
C••••••••• I••••••••• A•••••••• L•• independent RIA
Apr 17, 2023 to Nov 28, 2023 · Tampa, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 14, 2022 to Apr 25, 2023 · Grosse Pointe, Mi
U•• A••••••• institutional
Apr 20, 2018 to Jan 6, 2022 · Chicago, Il
P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassified
Aug 7, 2001 to Oct 27, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

V••••••• A••••••• L•• to I•• W••••• M••••••••• L••
left Oct 7, 2025, registered Nov 10, 2025 (34 days) · Other
C••••••••• I••••••••• A•••••••• L•• to V••••••• A••••••• L••
left Nov 28, 2023, registered Oct 8, 2024 (315 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••
left Apr 25, 2023, registered Apr 17, 2023 (-8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U•• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 6, 2022, registered Jan 14, 2022 (8 days) · Other
P••••••••• R••••••••• B•••••••• S•••••••• I••• to U•• A•••••••
left Oct 27, 2003, registered Apr 20, 2018 (5289 days) · Other

Signals

M•••••• D•••• S••••••• left V••••••• A••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-11-10)
Oct 7, 2025 · Advisor changed firm · fact
M•••••• D•••• S••••••• left C••••••••• I••••••••• A•••••••• L•• for V••••••• A••••••• L•• (registered 2024-10-08)
Nov 28, 2023 · Advisor changed firm · fact
M•••••• D•••• S••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-04-17)
Apr 25, 2023 · Advisor changed firm · fact
M•••••• D•••• S••••••• left U•• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-14)
Jan 6, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address