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

L•••• K•••

W•••• F•••• A•••••••wirehouseOak Brook, Ildual registrantIAPD 2840546

Feed of 09/14/2026

Also filed as L•••• Anne Hess

At current firm

3 y

since Jun 5, 2023

In the industry

17 y

since Sep 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jun 5, 2023 · Oak Brook, Il
S•••••• N••••••• • C••••••• I••••••••• national BD
Jan 21, 2022 to May 31, 2023 · Naperville, Il
R•• C•••••• M••••••• L•• national BD
Jan 4, 2022 to Jan 28, 2022 · Oakbrook Terrace, Il
M••••• S•••••• wirehouse
Nov 15, 2019 to Jun 10, 2021 · Oak Brook, Il

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••
left May 31, 2023, registered Jun 5, 2023 (5 days) · Affiliated broker-dealer or bank to wirehouse
R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Jan 28, 2022, registered Jan 21, 2022 (-7 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•• C•••••• M••••••• L••
left Jun 10, 2021, registered Jan 4, 2022 (208 days) · Wirehouse to affiliated broker-dealer or bank

Signals

L•••• K••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2023-06-05)
May 31, 2023 · Advisor changed firm · fact
L•••• K••• left R•• C•••••• M••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2022-01-21)
Jan 28, 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address