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

B••••••• D••• S•••••••••

C••••••• R•••••••• I••••••••• A••••••• L••formerOakbrook Terrace, Il IA-onlyIAPD 2102955

Feed of 09/14/2026

At current firm

11 y

since Apr 3, 2015

In the industry

23 y

since Mar 4, 2003 (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

C••••••• R•••••••• I••••••••• A••••••• L•• former current
since Apr 3, 2015 · Cranston, Ri
N•••••• C•••• A•••• M••••••••• former
Aug 30, 2013 to Mar 29, 2016 · Chicago, Il
A•••••• W••••• M••••••••• L••• former
Apr 25, 2012 to Sep 30, 2013 · New York, Ny
A•••••• W••••• M••••••••• L••• former
Dec 1, 2011 to Apr 24, 2012 · Chicago, Il
A••••••• • S••••••••• I••••••••• former
Jul 19, 2010 to Dec 1, 2011 · Chicago, Il
J•••• • L••••• S••••••••• C••• unclassified
Jul 16, 2009 to Jul 15, 2010 · Chicago, Il
I••••••••• W••••• M••••••••• L•• unclassified
Jan 3, 2007 to Jul 23, 2009 · Chicago, Il
C••••• C•••••• A•••••••• L•• former
Jun 2, 2005 to Dec 31, 2006 · Chicago, Il
E•••• • Y•••• I••••••••• A••••••• L•• no RAUM
Mar 6, 2003 to May 26, 2005 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

N•••••• C•••• A•••• M••••••••• to C••••••• R•••••••• I••••••••• A••••••• L••
left Mar 29, 2016, registered Apr 3, 2015 (-361 days) · Other
A•••••• W••••• M••••••••• L••• to N•••••• C•••• A•••• M•••••••••
left Sep 30, 2013, registered Aug 30, 2013 (-31 days) · Other
A••••••• • S••••••••• I••••••••• to A•••••• W••••• M••••••••• L•••
left Dec 1, 2011, registered Dec 1, 2011 (0 days) · Other
J•••• • L••••• S••••••••• C••• to A••••••• • S••••••••• I•••••••••
left Jul 15, 2010, registered Jul 19, 2010 (4 days) · Other
I••••••••• W••••• M••••••••• L•• to J•••• • L••••• S••••••••• C•••
left Jul 23, 2009, registered Jul 16, 2009 (-7 days) · Other
C••••• C•••••• A•••••••• L•• to I••••••••• W••••• M••••••••• L••
left Dec 31, 2006, registered Jan 3, 2007 (3 days) · Other
E•••• • Y•••• I••••••••• A••••••• L•• to C••••• C•••••• A•••••••• L••
left May 26, 2005, registered Jun 2, 2005 (7 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: Former SEC-registered adviserderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address