DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• P•••••• L••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
4 y
since Dec 9, 2021
In the industry
35 y
since Aug 21, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• P••••••• P••••••• independent RIA currentsince Dec 9, 2021 · Downers Grove, Il
- H•••••••• A•••••• G••••• L•• formerJun 26, 2018 to Dec 31, 2021 · Barrington, Il
- F•• S••••••••• C••••••••• formerSep 16, 2009 to May 18, 2012 · Barrington, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedNov 18, 2003 to Sep 2, 2009 · Villa Park, Il
- M•••••• • A••••••••• I••• unclassifiedOct 26, 2000 to Dec 5, 2003 · Villa Park, Il
Moves
a registration end followed by a registration begin elsewhere
- H•••••••• A•••••• G••••• L•• to H•••••••• P••••••• P•••••••left Dec 31, 2021, registered Dec 9, 2021 (-22 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to H•••••••• A•••••• G••••• L••left May 18, 2012, registered Jun 26, 2018 (2230 days) · Other
- W••••••••• F•••••••• G••••• I••• to F•• S••••••••• C•••••••••left Sep 2, 2009, registered Sep 16, 2009 (14 days) · Other
- M•••••• • A••••••••• I••• to W••••••••• F•••••••• G••••• I•••left Dec 5, 2003, registered Nov 18, 2003 (-17 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