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

N••••• E•••• N•••••

U•• F•••••••• S••••••••• L••independent RIALemont, Il dual registrantIAPD 1983721

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Nov 18, 2022

In the industry

36 y

since Apr 7, 1990 (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

U•• F•••••••• S••••••••• L•• independent RIA current
since Nov 18, 2022 · Ada, Mi
O•••• F•• I••• former
Nov 29, 2019 to Nov 21, 2022 · Chicago, Il
G••••• W••••• M••••••••• state registered
Feb 8, 2018 to Aug 9, 2023 · Oak Brook, Il
G••••• W••••• M••••••••• state registered
Feb 8, 2018 to Dec 31, 2022 · Oak Brook, Il
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Jan 2, 2018 · New York, Ny
C••••••• I••••••••• S••••••• unclassified
Apr 26, 2006 to May 29, 2007 · Chicago, Il
F•••• T•••• S••••••••• I••• BD affiliated
Aug 15, 2005 to Apr 28, 2006 · Rolling Meadows, Il
F••••• I••••••••• independent RIA
Mar 19, 2003 to Dec 11, 2003 · Lemont, Il
S•••••••• A••••••• L•• national BD
Apr 11, 2001 to Jan 22, 2003 · Chicago, Il
F••••••• P••••••• T•••• C••••••• F•• unclassified
Jan 2, 2001 to Jan 22, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

G••••• W••••• M••••••••• to O•••• F•• I•••
left Aug 9, 2023, registered Nov 29, 2019 (-1349 days) · Other
O•••• F•• I••• to U•• F•••••••• S••••••••• L••
left Nov 21, 2022, registered Nov 18, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• G••••• M•••••• I••• to G••••• W••••• M•••••••••
left Jan 2, 2018, registered Feb 8, 2018 (37 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
F•••• T•••• S••••••••• I••• to C••••••• I••••••••• S•••••••
left Apr 28, 2006, registered Apr 26, 2006 (-2 days) · Other
F••••• I••••••••• to F•••• T•••• S••••••••• I•••
left Dec 11, 2003, registered Aug 15, 2005 (613 days) · Other
S•••••••• A••••••• L•• to F••••• I•••••••••
left Jan 22, 2003, registered Mar 19, 2003 (56 days) · Other
F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••
left Jan 22, 2003, registered Apr 11, 2001 (-651 days) · Other

Signals

N••••• E•••• N••••• left G••••• W••••• M••••••••• for O•••• F•• I••• (registered 2019-11-29)
Aug 9, 2023 · Advisor changed firm · fact
N••••• E•••• N••••• left O•••• F•• I••• for U•• F•••••••• S••••••••• L•• (registered 2022-11-18)
Nov 21, 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: Independent wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address