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

K•••• J••••• H••••••

B••••••••• C•••••• M••••••••• L••independent RIAWheaton, Il IA-onlyIAPD 2338310

Feed of 09/14/2026

Also filed as K•••• J••••• H••••••

At current firm

1 y

since Jul 10, 2025

In the industry

33 y

since Apr 15, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••••••• C•••••• M••••••••• L•• independent RIA current
since Jul 10, 2025 · Buffalo Grove, Il
J••• M••••• S••••••••• L•• wirehouse
Jun 7, 2022 to May 18, 2025 · Chicago, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 8, 2021 to Apr 11, 2022 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 16, 2021 to May 25, 2021 · Massapequa, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to B••••••••• C•••••• M••••••••• L••
left May 18, 2025, registered Jul 10, 2025 (53 days) · Wirehouse to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left Apr 11, 2022, registered Jun 7, 2022 (57 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 25, 2021, registered Oct 8, 2021 (136 days) · Affiliated broker-dealer or bank to another

Signals

K•••• J••••• H•••••• left J••• M••••• S••••••••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2025-07-10)
May 18, 2025 · Advisor changed firm · fact
K•••• J••••• H•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-06-07)
Apr 11, 2022 · 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: Independent wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address