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••••• J• C••••••

H•••••••• P••••••• P•••••••independent RIADowners Grove, Il dual registrantIAPD 3178328

Certified Financial Planner

Feed of 09/15/2026

Also filed as T••••• James C••••••

At current firm

2 y

since Jun 3, 2024

In the industry

10 y

since Jun 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••••• P••••••• P••••••• independent RIA current
since Jun 3, 2024 · Downers Grove, Il
P••••••• A•••• M••••••••• I••• independent RIA
Dec 13, 2022 to Jun 11, 2024 · Oakbrook Terrace, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 20, 2020 to Nov 22, 2022 · Oak Brook, Il
E••••• J•••• national BD
Aug 30, 2017 to Sep 30, 2020 · Downers Grove, Il

Moves

a registration end followed by a registration begin elsewhere

P••••••• A•••• M••••••••• I••• to H•••••••• P••••••• P•••••••
left Jun 11, 2024, registered Jun 3, 2024 (-8 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• A•••• M••••••••• I•••
left Nov 22, 2022, registered Dec 13, 2022 (21 days) · Wirehouse to independent RIA
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 30, 2020, registered Nov 20, 2020 (51 days) · Affiliated broker-dealer or bank to wirehouse

Signals

T••••• J• C•••••• left P••••••• A•••• M••••••••• I••• for H•••••••• P••••••• P••••••• (registered 2024-06-03)
Jun 11, 2024 · Advisor changed firm · fact
T••••• J• C•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P••••••• A•••• M••••••••• I••• (registered 2022-12-13)
Nov 22, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address