DFX Intelligence
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Feed of 09/15/2026
Also filed as I•••• S••••• K••••••••• S• S••••••••• S••••• S••••••••• S••••• K•••••••••
At current firm
1 y
since Apr 25, 2025
In the industry
23 y
since Dec 14, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Apr 25, 2025 · Northbrook, Il
- W•••• F•••• A••••••• wirehouseJan 16, 2015 to Apr 30, 2025 · Deerfield, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 27, 2015 · Riverwoods, Il
- M••••• S•••••• • C•• L•• unclassifiedAug 15, 2008 to Jun 1, 2009 · Riverwoods, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 14, 2003 to Aug 29, 2008 · Chicago, Il
- M••••• S•••••• D• I••• unclassifiedJan 7, 2003 to Dec 2, 2003 · Riverwoods, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to ••••••••left Apr 30, 2025, registered Apr 25, 2025 (-5 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Aug 29, 2008, registered Aug 15, 2008 (-14 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Dec 2, 2003, registered Nov 14, 2003 (-18 days) · Other
Signals
- ••• LockedApr 30, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address