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.

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Registered advisor

L••••• M••••• B•••••

E•••••••• A•••••••• L••national BDOak Park, Il dual registrantIAPD 2665428

Feed of 09/15/2026

Also filed as Mickey B•••••

At current firm

3 y

since Feb 2, 2023

In the industry

30 y

since Nov 8, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

E•••••••• A•••••••• L•• national BD current
since Feb 2, 2023 · Oak Park, Il
A••••••• T•••• I••••••••• S••••••• A•••••••• I••• state registered
Mar 25, 2020 to Jan 27, 2023 · Chicago, Il
C•••••• C•••••• M••••••••• A•••••••• L•• independent RIA
Dec 10, 2019 to Jan 27, 2023 · Lisle, Il
C•••••• C•••••• M••••••••• A•••••••• L•• independent RIA
Mar 6, 2014 to Nov 9, 2017 · Lisle, Il
S•• BD affiliated
Jul 19, 2010 to Apr 24, 2012 · C••••••, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••• C•••••• M••••••••• A•••••••• L•• to A••••••• T•••• I••••••••• S••••••• A•••••••• I•••
left Jan 27, 2023, registered Mar 25, 2020 (-1038 days) · Other
A••••••• T•••• I••••••••• S••••••• A•••••••• I••• to E•••••••• A•••••••• L••
left Jan 27, 2023, registered Feb 2, 2023 (6 days) · Other
S•• to C•••••• C•••••• M••••••••• A•••••••• L••
left Apr 24, 2012, registered Mar 6, 2014 (681 days) · Other

Signals

L••••• M••••• B••••• left A••••••• T•••• I••••••••• S••••••• A•••••••• I••• for E•••••••• A•••••••• L•• (registered 2023-02-02)
Jan 27, 2023 · Advisor changed firm · fact
L••••• M••••• B••••• left C•••••• C•••••• M••••••••• A•••••••• L•• for A••••••• T•••• I••••••••• S••••••• A•••••••• I••• (registered 2020-03-25)
Jan 27, 2023 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address