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

J••• H•••• P•••••••

C•••••• S••••• • C••• I•••national BDChicago, Ildual registrantIAPD 2670097

Feed of 09/14/2026

Also filed as J••• J P•••••••

At current firm

3 y

since Jan 27, 2023

In the industry

30 y

since Jan 10, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

C•••••• S••••• • C••• I••• national BD current
since Jan 27, 2023 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2022 to Nov 30, 2022 · Elmhurst, Il
E••••• institutional
Jan 3, 2018 to May 25, 2018 · Chicago, Il
R••••• W• B•••• • C•• I••••••••• mixed wealth
Apr 25, 2011 to May 26, 2016 · Naperville, Il
R•• C•••••• M••••••• L•• national BD
Mar 8, 2006 to Dec 22, 2010 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
May 15, 2002 to Mar 13, 2006 · Chicago, Il
U•• F•••••••• S••••••• I••• wirehouse
Nov 16, 1998 to May 7, 2002 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Nov 30, 2022, registered Jan 27, 2023 (58 days) · Wirehouse to affiliated broker-dealer or bank
E••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 25, 2018, registered Jun 21, 2022 (1488 days) · Other
R••••• W• B•••• • C•• I••••••••• to E•••••
left May 26, 2016, registered Jan 3, 2018 (587 days) · Other
R•• C•••••• M••••••• L•• to R••••• W• B•••• • C•• I•••••••••
left Dec 22, 2010, registered Apr 25, 2011 (124 days) · Other
J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••
left Mar 13, 2006, registered Mar 8, 2006 (-5 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left May 7, 2002, registered May 15, 2002 (8 days) · Wirehouse to wirehouse

Signals

J••• H•••• P••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2023-01-27)
Nov 30, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address