DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• L•• M••••••
Feed of 09/14/2026
At current firm
13 y
since Apr 16, 2013
In the industry
18 y
since Nov 21, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 16, 2013 · Barrington, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Deer Park, Il
- J••• M••••• S••••••••• I••• unclassifiedNov 27, 2007 to Oct 1, 2008 · Barrington, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 15, 2012, registered Apr 16, 2013 (336 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address