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

D•••• H••• B•••••••••

F••••••• W••••• A•••••••• L••independent RIAChicago, Il IA-onlyIAPD 3201389

Feed of 09/14/2026

At current firm

3 y

since Nov 30, 2022

In the industry

27 y

since Apr 9, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••••• W••••• A•••••••• L•• independent RIA current
since Nov 30, 2022 · Chicago, Il
C••••••• • C••• I••• former
Jan 19, 2018 to Nov 30, 2022 · Nanuet, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 19, 2018 · Paramus, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 10, 2005 to Jun 1, 2009 · Ridgewood, Nj
R•• C•••••• M••••••• L•• national BD
Jan 19, 2004 to Jun 23, 2005 · West Paterson, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••••• • C••• I••• to F••••••• W••••• A•••••••• L••
left Nov 30, 2022, registered Nov 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to C••••••• • C••• I•••
left Jan 19, 2018, registered Jan 19, 2018 (0 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••
left Jun 23, 2005, registered Jun 10, 2005 (-13 days) · Other

Signals

D•••• H••• B••••••••• left C••••••• • C••• I••• for F••••••• W••••• A•••••••• L•• (registered 2022-11-30)
Nov 30, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address