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

R•• E• C•••

L•• F•••••••• L••BD affiliatedWarrenville, Ildual registrantIAPD 3129380

Feed of 09/14/2026

Also filed as Roy C•••

At current firm

2 y

since Sep 29, 2023

In the industry

28 y

since Sep 17, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Sep 29, 2023 · Warrenville, Il
C••••• I••••••••• A••••••• L•• BD affiliated
May 20, 2018 to Sep 29, 2023 · Park Ridge, Il
S••• P•••••• W••••• G••••• L•• independent RIA
Apr 10, 2015 to May 14, 2018 · Wheaton, Il
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Apr 3, 2015 to May 18, 2018 · Oakb••••, Il
F••••• M••••• W••••• A•••••••• L•• independent RIA
Nov 5, 2014 to Apr 20, 2015 · Oakb•••• Terrace, Il
W••• F•••••••• M••••••••• L•• former
Jul 20, 2010 to Dec 31, 2014 · Oakb•••• Terrace, Il
W••• F•••••••• M••••••••• L•• former
Jul 10, 2010 to Apr 20, 2015 · Oakb•••• Terrace, Il
O•• B•••• S•••••••• I••••••••• A••••••• L•• unclassified
Sep 21, 2009 to Dec 23, 2010 · Elmhurst, Il
B•••• T•••• I••••••••• A••••••• former
Jan 18, 2006 to Sep 24, 2009 · Madison, Wi

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Sep 29, 2023, registered Sep 29, 2023 (0 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••• P•••••• W••••• G••••• L••
left May 18, 2018, registered Apr 10, 2015 (-1134 days) · Affiliated broker-dealer or bank to independent RIA
S••• P•••••• W••••• G••••• L•• to C••••• I••••••••• A••••••• L••
left May 14, 2018, registered May 20, 2018 (6 days) · RIA to affiliated broker-dealer or bank
F••••• M••••• W••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Apr 20, 2015, registered Apr 3, 2015 (-17 days) · Other
W••• F•••••••• M••••••••• L•• to F••••• M••••• W••••• A•••••••• L••
left Dec 31, 2014, registered Nov 5, 2014 (-56 days) · Other
O•• B•••• S•••••••• I••••••••• A••••••• L•• to W••• F•••••••• M••••••••• L••
left Dec 23, 2010, registered Jul 10, 2010 (-166 days) · Other
B•••• T•••• I••••••••• A••••••• to O•• B•••• S•••••••• I••••••••• A••••••• L••
left Sep 24, 2009, registered Sep 21, 2009 (-3 days) · Other

Signals

R•• E• C••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-09-29)
Sep 29, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address