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.
Feed of 09/14/2026
At current firm
0 y
since Jan 9, 2026
In the industry
19 y
since Nov 11, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Great Lakes Advisors, LLC other currentsince Jan 9, 2026 · Chicago, Il
- Great Lakes Advisors, LLC otherNov 6, 2008 to Dec 31, 2025 · Chicago, Il
- Wintrust Investments formerNov 6, 2008 to Dec 31, 2013 · Chicago, Il
- Securian Financial Services, Inc. formerNov 21, 2006 to Sep 29, 2008 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to Great Lakes Advisors, LLCleft Dec 31, 2013, registered Nov 6, 2008 (-1881 days) · channel change inside one enterprise, not a move
- Securian Financial Services, Inc. to Wintrust Investmentsleft Sep 29, 2008, registered Nov 6, 2008 (38 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
- Other adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address