DFX Intelligence
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Registered advisor
E•••••••• R•••••
Feed of 09/14/2026
Also filed as B••• S••••••••• B••••••••• A•• B••••••••• A•• S••••••••• A•• S••••••••• A•• R••••••••• A• R••••••••• R•••••
At current firm
6 y
since Nov 21, 2019
In the industry
30 y
since Jun 19, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 21, 2019 · Barrington, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 11, 2019 · Barrington, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 24, 2008 to Jun 1, 2009 · Barrington, Il
- U•• F•••••••• S••••••• I••• wirehouseSep 20, 2007 to Oct 14, 2008 · Barrington, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 5, 2007 to Oct 4, 2007 · Barrington, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2006 to Feb 24, 2007 · Deer Park, Il
- M••••• S•••••• D• I••• unclassifiedDec 9, 2005 to Aug 30, 2006 · Barrington, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 11, 2019, registered Nov 21, 2019 (10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 14, 2008, registered Oct 24, 2008 (10 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Oct 4, 2007, registered Sep 20, 2007 (-14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 24, 2007, registered Mar 5, 2007 (9 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2006, registered Sep 28, 2006 (29 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address