DFX Intelligence
RIA Intelligence
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Registered advisor
E••••• P•••••• G•••••
Feed of 09/15/2026
Also filed as E••••• P•••••• G•••••
At current firm
4 y
since Jan 14, 2022
In the industry
35 y
since Feb 22, 1991 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 14, 2022 · Deerfield, Il
- W•••• F•••• A••••••• wirehouseNov 18, 2013 to Jan 19, 2022 · Deerfield, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2005 to Dec 12, 2013 · Northbrook, Il
- M••••• S•••••• D• I••• unclassifiedFeb 27, 2001 to Nov 9, 2005 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 19, 2022, registered Jan 14, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 12, 2013, registered Nov 18, 2013 (-24 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Nov 9, 2005, registered Nov 4, 2005 (-5 days) · Other
Signals
- E••••• P•••••• G••••• left W•••• F•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-01-14)Jan 19, 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address