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

D••••• A••• M••••••••

A•••••• E•••asset managerLisle, Il dual registrantIAPD 2126325

Feed of 09/15/2026

Also filed as D••••• A••• M••••••••

At current firm

0 y

since Aug 10, 2026

In the industry

35 y

since Mar 22, 1991 (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

A•••••• E••• asset manager current
since Aug 10, 2026 · Lisle, Il
A••••••• A•••• M••••••••• I••• mixed wealth
Dec 4, 2024 to Feb 5, 2026 · Princeton, Nj
N••••• I••••••••• M••••••••• B••••••• T•••• asset manager
Apr 20, 2020 to Oct 31, 2024 · Philadelphia, Pa
D••••••• C•••••• M••••••••• A•••••••• I•• former
Feb 1, 2012 to Apr 20, 2020 · Philadelphia, Pa
T•• I••••••••• M••••••••• C•••••• L•• asset manager
Nov 10, 2008 to Oct 19, 2010 · Los Angeles, Ca
M••••••• I••••••••• M••••••••• ••• L•• asset manager
May 29, 2001 to Apr 23, 2008 · Boston, Ma
J••• H•••••• I••••••••• M••••••••• L•• asset manager
May 29, 2001 to Apr 23, 2008 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

A••••••• A•••• M••••••••• I••• to A•••••• E•••
left Feb 5, 2026, registered Aug 10, 2026 (186 days) · Other
N••••• I••••••••• M••••••••• B••••••• T•••• to A••••••• A•••• M••••••••• I•••
left Oct 31, 2024, registered Dec 4, 2024 (34 days) · Other
D••••••• C•••••• M••••••••• A•••••••• I•• to N••••• I••••••••• M••••••••• B••••••• T••••
left Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
T•• I••••••••• M••••••••• C•••••• L•• to D••••••• C•••••• M••••••••• A•••••••• I••
left Oct 19, 2010, registered Feb 1, 2012 (470 days) · Other
J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••
left Apr 23, 2008, registered May 29, 2001 (-2521 days) · Other
M••••••• I••••••••• M••••••••• ••• L•• to T•• I••••••••• M••••••••• C•••••• L••
left Apr 23, 2008, registered Nov 10, 2008 (201 days) · Other

Signals

D••••• A••• M•••••••• left A••••••• A•••• M••••••••• I••• for A•••••• E••• (registered 2026-08-10)
Feb 5, 2026 · Advisor changed firm · fact
D••••• A••• M•••••••• left N••••• I••••••••• M••••••••• B••••••• T•••• for A••••••• A•••• M••••••••• I••• (registered 2024-12-04)
Oct 31, 2024 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address