DFX Intelligence
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Registered advisor
S•••• A•••• W••••
Feed of 09/17/2026
At current firm
9 y
since Feb 1, 2017
In the industry
31 y
since Feb 6, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
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 Jul 8, 2026 · Melrose Park, Il
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Feb 1, 2017 · Melrose Park, Il
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Feb 1, 2017 · Aurora, Il
- F••••••••• A•••••••• I••• unclassifiedMar 11, 2013 to Sep 18, 2013 · Hillside, Il
- C••••••• S••••••••• I••• BD affiliatedMar 9, 2010 to Mar 12, 2013 · St. Charles, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · Chicago, Il
- C••••••• I••••••••• S••••••• unclassifiedMar 9, 2007 to May 29, 2007 · Darien, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedJan 21, 2003 to Jan 26, 2007 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJul 30, 2001 to Jan 22, 2003 · Oak Brook, Il
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left Feb 1, 2017, registered Feb 1, 2017 (0 days) · corporate re-registration, not a move
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to F••••••••• A•••••••• I•••left Mar 12, 2013, registered Mar 11, 2013 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••• S••••••••• I•••left Dec 17, 2009, registered Mar 9, 2010 (82 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
- L•••••• F•••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Jan 26, 2007, registered Mar 9, 2007 (42 days) · Other
- W•••• F•••• A••••••• to L•••••• F•••••••• S•••••••• I•••left Jan 22, 2003, registered Jan 21, 2003 (-1 days) · Other
Signals
- S•••• A•••• W•••• added a TX registration at H••••••••• F•••••••• A•••••••Sep 15, 2026 · New state registration · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address