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Registered advisor
D•••• C•••••• H•••
Feed of 09/15/2026
At current firm
1 y
since Jul 7, 2025
In the industry
27 y
since Dec 31, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 7, 2025 · Valparaiso, In
- C••••••••• F•••••••• N•••••• national BDOct 14, 2022 to Jul 8, 2025 · Valparaiso, In
- W•••• F•••• A••••••• wirehouseMay 29, 2009 to Oct 24, 2022 · Shorewood, Il
- E••••• J•••• national BDFeb 8, 2007 to Jun 3, 2009 · Joliet, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to K••••• A••••••• S•••••••• L••left Jul 8, 2025, registered Jul 7, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Oct 24, 2022, registered Oct 14, 2022 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Jun 3, 2009, registered May 29, 2009 (-5 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- D•••• C•••••• H••• left C••••••••• F•••••••• N•••••• for K••••• A••••••• S•••••••• L•• (registered 2025-07-07)Jul 8, 2025 · Advisor changed firm · fact
- D•••• C•••••• H••• left W•••• F•••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2022-10-14)Oct 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address