DFX Intelligence
RIA Intelligence
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Registered advisor
C••••• J••••• L••••••
Feed of 09/14/2026
At current firm
9 y
since Feb 9, 2017
In the industry
35 y
since Jul 29, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I•••••• S••••••••• I••• mixed wealth currentsince Oct 13, 2021 · Highland Park, Il
- P•••••• I••••••••• M••••••••• I••• independent RIA currentsince Feb 9, 2017 · Chicago, Il
- I•••••• S••••••••• I••• mixed wealthAug 10, 2009 to Sep 5, 2019 · Highland Park, Il
- P•••••• I••••••••• M••••••••• L•• unclassifiedJan 24, 2003 to Aug 5, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- I•••••• S••••••••• I••• to P•••••• I••••••••• M••••••••• I•••left Sep 5, 2019, registered Feb 9, 2017 (-938 days) · RIA to RIA
- P•••••• I••••••••• M••••••••• L•• to I•••••• S••••••••• I•••left Aug 5, 2009, registered Aug 10, 2009 (5 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address