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

A•••••• A•••••••• J•

S•••••••• A••••••• L••national BDChicago, Ildual registrantIAPD 2396318

Feed of 09/14/2026

Also filed as Al A••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

25 y

since Jul 13, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Chicago, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
May 2, 2024 to Mar 31, 2025 · Chicago, Il
M••••• S•••••• wirehouse
Sep 5, 2023 to Jan 2, 2024 · Alpharetta, Ga
E•••••• C•••••• M••••••••• L•• former
Feb 24, 2022 to Sep 5, 2023 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jan 15, 2022 · Chicago, Il
C•••• I••••••••• S••••••• C•••• former
Jan 15, 2008 to Oct 1, 2012 · Chicago, Il
M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealth
Jan 13, 2004 to Jul 21, 2004
J••• M••••• A•••• M••••••••• unclassified
Nov 18, 2002 to Oct 22, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 2, 2024, registered May 2, 2024 (121 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jan 15, 2022, registered Feb 24, 2022 (40 days) · Wirehouse to independent RIA
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
M•••••• F•••••••• I••••••••• M••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Jul 21, 2004, registered Jan 15, 2008 (1273 days) · Other
J••• M••••• A•••• M••••••••• to M•••••• F•••••••• I••••••••• M••••••••• I•••
left Oct 22, 2003, registered Jan 13, 2004 (83 days) · Other

Signals

A•••••• A•••••••• J• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-02)
Jan 2, 2024 · Advisor changed firm · fact
A•••••• A•••••••• J• left J••• M••••• S••••••••• L•• for E•••••• C•••••• M••••••••• L•• (registered 2022-02-24)
Jan 15, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address