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

P•••• H••••• R••••••

M•••••• W••••• M•••••••••otherEffingham, Il IA-onlyIAPD 4023699

Feed of 09/14/2026

At current firm

1 y

since Feb 24, 2025

In the industry

26 y

since Oct 8, 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, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• W••••• M••••••••• other current
since Feb 24, 2025 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 13, 2022 to Feb 25, 2025 · Deer Park, Il
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 25, 2019 to Jan 20, 2022 · Deerfield, Il
H•••••••• A•••••••• L•• BD affiliated
Jul 19, 2019 to Sep 23, 2019 · Deerfield, Il
H•••••••• A•••••••• L•• BD affiliated
Aug 18, 2015 to Jun 17, 2019 · Deerfield, Il
N•• V••••• W••••• M••••••••• L•• independent RIA
Mar 27, 2013 to Nov 3, 2015 · Highland Park, Il
S• I••••••••• A••••••• former
Oct 9, 2012 to Mar 27, 2013 · Highland Park, Il
M••••• S•••••• wirehouse
Jun 21, 2010 to Oct 18, 2012 · Deerfield, Il

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• W••••• M•••••••••
left Feb 25, 2025, registered Feb 24, 2025 (-1 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 20, 2022, registered Jan 13, 2022 (-7 days) · Affiliated broker-dealer or bank to wirehouse
H•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Sep 23, 2019, registered Oct 25, 2019 (32 days) · Affiliated broker-dealer or bank to another
N•• V••••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••
left Nov 3, 2015, registered Aug 18, 2015 (-77 days) · Other
S• I••••••••• A••••••• to N•• V••••• W••••• M••••••••• L••
left Mar 27, 2013, registered Mar 27, 2013 (0 days) · Other
M••••• S•••••• to S• I••••••••• A•••••••
left Oct 18, 2012, registered Oct 9, 2012 (-9 days) · Other

Signals

P•••• H••••• R•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M•••••• W••••• M••••••••• (registered 2025-02-24)
Feb 25, 2025 · Advisor changed firm · fact
P•••• H••••• R•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-01-13)
Jan 20, 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: Other adviserderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address