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

P•••• K•••• H••• R•••

C••••• I••••••••• A••••••• L••BD affiliatedFrankfort, Ildual registrantIAPD 2326728

Feed of 09/14/2026

Also filed as P•••• K•••• Moon R•••

At current firm

5 y

since Nov 12, 2020

In the industry

24 y

since Jul 19, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Nov 12, 2020 · Frankfort, Il
F•••• A••••• A••••••• S•••••••• I••• former
Jun 12, 2015 to Nov 12, 2020 · Frankfort, Il
I•• W••••• M••••••••• I••• BD affiliated
Jan 4, 2010 to Jul 8, 2015 · Decatur, Il
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Jan 14, 2010 · Palos Heights, Il
A• G• E•••••• • S•••• I••• unclassified
Apr 25, 2006 to Jan 1, 2008 · St. Louis, Mo
M••••• S•••••• D• I••• unclassified
Nov 5, 2002 to Jun 3, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
I•• W••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Jul 8, 2015, registered Jun 12, 2015 (-26 days) · Other
W•••• F•••• A••••••• to I•• W••••• M••••••••• I•••
left Jan 14, 2010, registered Jan 4, 2010 (-10 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••
left Jun 3, 2003, registered Apr 25, 2006 (1057 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address