DFX Intelligence
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Registered advisor
A••• B•••••••••
Feed of 09/14/2026
Also filed as A••• B••••••••• M••••••••• B•••••••••
At current firm
5 y
since Sep 17, 2021
In the industry
28 y
since Jan 30, 1998 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Sep 17, 2021 · Northbrook, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 28, 2020 to Jul 26, 2021 · Highland Park, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 20, 2018 to Sep 10, 2019 · Glenview, Il
- P•• W••••• M••••••••• BD affiliatedDec 4, 2013 to Sep 11, 2018 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedDec 9, 2011 to Dec 19, 2013 · Riverside, Il
- P•• W••••• M••••••••• BD affiliatedNov 16, 2009 to Dec 7, 2011 · Palos Hills, Il
- F•••• T•••• S••••••••• I••• BD affiliatedOct 16, 2008 to Nov 6, 2009 · Chicago, Il
- N•••••• I••••••••• I••• unclassifiedJan 18, 2008 to Oct 10, 2008 · Franklin Park, Il
- I••••• F•••••••• C••••••••• formerMar 27, 2001 to Jan 31, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Jul 26, 2021, registered Sep 17, 2021 (53 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 10, 2019, registered Sep 28, 2020 (384 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 11, 2018, registered Sep 20, 2018 (9 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Dec 19, 2013, registered Dec 4, 2013 (-15 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Dec 7, 2011, registered Dec 9, 2011 (2 days) · Other
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left Nov 6, 2009, registered Nov 16, 2009 (10 days) · Other
- N•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••left Oct 10, 2008, registered Oct 16, 2008 (6 days) · Other
- I••••• F•••••••• C••••••••• to N•••••• I••••••••• I•••left Jan 31, 2008, registered Jan 18, 2008 (-13 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address