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

B•••• N••• G••••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 225208

Feed of 09/15/2026

At current firm

3 y

since Apr 25, 2023

In the industry

48 y

since Sep 1, 1978 (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

H•••••••• A•••••••• L•• BD affiliated current
since Apr 25, 2023 · Chicago, Il
B••••••• F•••••••• S•••••••• I••• former
Jan 15, 2021 to Apr 21, 2023 · Boca Raton, Fl
S••••••• F•••••••• P•••••••• L•• independent RIA
Oct 17, 2016 to Nov 16, 2020 · Lynnfield, Ma
L•• F•••••••• L•• BD affiliated
Jan 12, 2006 to Nov 17, 2020 · Lynnfield, Ma
B•••• N• G•••••• unclassified
Aug 10, 2004 to Oct 4, 2016 · Lynnfield, Ma

Moves

a registration end followed by a registration begin elsewhere

B••••••• F•••••••• S•••••••• I••• to H•••••••• A•••••••• L••
left Apr 21, 2023, registered Apr 25, 2023 (4 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to S••••••• F•••••••• P•••••••• L••
left Nov 17, 2020, registered Oct 17, 2016 (-1492 days) · Other
S••••••• F•••••••• P•••••••• L•• to B••••••• F•••••••• S•••••••• I•••
left Nov 16, 2020, registered Jan 15, 2021 (60 days) · RIA to RIA
B•••• N• G•••••• to L•• F•••••••• L••
left Oct 4, 2016, registered Jan 12, 2006 (-3918 days) · Other

Signals

B•••• N••• G•••••• left B••••••• F•••••••• S•••••••• I••• for H•••••••• A•••••••• L•• (registered 2023-04-25)
Apr 21, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 48derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address