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••••• M•••••• W••••

S••••• W••••• M•••••••••independent RIALincolnshire, Il IA-onlyIAPD 2790750

Feed of 09/15/2026

At current firm

3 y

since Jan 19, 2023

In the industry

11 y

since Oct 10, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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••••• W••••• M••••••••• independent RIA current
since Jan 19, 2023 · Rockford, Il
E•••••••• M••• A•••• M••••••••• L•• independent RIA
Sep 9, 2022 to Dec 13, 2022 · Danville, Ca
V••••• A•••• M••••••••• independent RIA
Mar 14, 2019 to Nov 30, 2022 · Schaumburg, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 1, 2016 to Aug 31, 2017 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

E•••••••• M••• A•••• M••••••••• L•• to S••••• W••••• M•••••••••
left Dec 13, 2022, registered Jan 19, 2023 (37 days) · Other
V••••• A•••• M••••••••• to E•••••••• M••• A•••• M••••••••• L••
left Nov 30, 2022, registered Sep 9, 2022 (-82 days) · RIA to a newly registered adviser · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• A•••• M•••••••••
left Aug 31, 2017, registered Mar 14, 2019 (560 days) · Wirehouse to independent RIA

Signals

A••••• M•••••• W•••• left E•••••••• M••• A•••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2023-01-19)
Dec 13, 2022 · Advisor changed firm · fact
A••••• M•••••• W•••• left V••••• A•••• M••••••••• for E•••••••• M••• A•••• M••••••••• L•• (registered 2022-09-09)
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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address