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

T•••••• S••••

C••••• I••••••••• A••••••• L••BD affiliatedPhoenix, Az dual registrantIAPD 3165159

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Tor S••••

At current firm

1 y

since May 1, 2025

In the industry

27 y

since Feb 2, 1999 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since May 1, 2025 · Lombard, Il
O•••• A••••••• S•••••••• L•• BD affiliated
Mar 29, 2021 to May 6, 2025 · Fountain Hills, Az
S•••••• W••••• M••••••••• L•• independent RIA
Dec 9, 2014 to Apr 30, 2021 · Barrington, Il
L•• F•••••••• L•• BD affiliated
Dec 14, 2010 to Mar 20, 2015 · Barriington, Il
N••••••••• M••••• W••••• M••••••••• C•••••• unclassified
Oct 16, 2006 to Apr 30, 2007 · Milwaukee, Wi
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Aug 30, 2005 to Aug 18, 2006 · Schaumburg, Il

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left May 6, 2025, registered May 1, 2025 (-5 days) · Affiliated broker-dealer or bank to another
S•••••• W••••• M••••••••• L•• to O•••• A••••••• S•••••••• L••
left Apr 30, 2021, registered Mar 29, 2021 (-32 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to S•••••• W••••• M••••••••• L••
left Mar 20, 2015, registered Dec 9, 2014 (-101 days) · Other
N••••••••• M••••• W••••• M••••••••• C•••••• to L•• F•••••••• L••
left Apr 30, 2007, registered Dec 14, 2010 (1324 days) · Other
N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••
left Aug 18, 2006, registered Oct 16, 2006 (59 days) · Other

Signals

T•••••• S•••• left O•••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-05-01)
May 6, 2025 · 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