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

J••• R••••• R••••••

C••••••••• F•••••••• N••••••national BDPalatine, Il dual registrantIAPD 3238062

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Aug 6, 2024

In the industry

27 y

since Jun 1, 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••••••••• F•••••••• N•••••• national BD current
since Aug 6, 2024 · Palatine, Il
L•• F•••••••• L•• BD affiliated
Jan 24, 2023 to Mar 10, 2023 · Palatine, Il
C•••••• G•••• • C• I•• former
Aug 18, 2009 to Aug 9, 2024 · Palatine, Il
M••••• S•••••• C••••••••• unclassified
Jul 9, 2002 to Aug 18, 2009 · Waukegan, Il
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated
Mar 16, 2001 to Jul 3, 2002 · Mason City, Ia

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Aug 9, 2024, registered Jan 24, 2023 (-563 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Mar 10, 2023, registered Aug 6, 2024 (515 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• C••••••••• to C•••••• G•••• • C• I••
left Aug 18, 2009, registered Aug 18, 2009 (0 days) · Other
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to M••••• S•••••• C•••••••••
left Jul 3, 2002, registered Jul 9, 2002 (6 days) · Other

Signals

J••• R••••• R•••••• left C•••••• G•••• • C• I•• for L•• F•••••••• L•• (registered 2023-01-24)
Aug 9, 2024 · Advisor changed firm · fact
J••• R••••• R•••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-08-06)
Mar 10, 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address