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•••••• S•••••

C••••• I••••••••• A••••••• L••BD affiliatedBloomington, Ildual registrantIAPD 417775

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Jun 29, 2023

In the industry

42 y

since Oct 25, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Bloomington, Il
I•• W••••• M••••••••• I••• BD affiliated
May 30, 2013 to Sep 17, 2019 · Bloomington, Il
C••••••••• W••••• A•••••••• L•• BD affiliated
Feb 27, 2012 to May 13, 2013 · Minneapolis, Mn
C•••••• G•••••••• W••••• A••••••• former
Jun 6, 2007 to Feb 27, 2012 · Peoria, Il
N•• E•••••• S••••••••• C••••••••• former
Jan 6, 2005 to Jun 4, 2007 · Chicago, Il
S••••••• F•••••••• I••••••••• G••••• I••• unclassified
Jun 17, 2004 to Nov 9, 2004 · Chicago, Il
S••••••• F•••••••• A•••• M••••••••• I••• unclassified
Nov 12, 2003 to Apr 22, 2004 · Chicago, Il
F•••••••• E•••••••• C••••••••• I••• unclassified
Nov 6, 2003 to Nov 19, 2004 · Chicago, Il
F•••• B•••• S••••••••• I••• unclassified
Jul 21, 2000 to Aug 18, 2003 · Bloomington, Il

Moves

a registration end followed by a registration begin elsewhere

I•• W••••• M••••••••• I••• to C••••• I••••••••• A••••••• L••
left Sep 17, 2019, registered Jun 29, 2023 (1381 days) · Affiliated broker-dealer or bank to another
C••••••••• W••••• A•••••••• L•• to I•• W••••• M••••••••• I•••
left May 13, 2013, registered May 30, 2013 (17 days) · Other
C•••••• G•••••••• W••••• A••••••• to C••••••••• W••••• A•••••••• L••
left Feb 27, 2012, registered Feb 27, 2012 (0 days) · Other
N•• E•••••• S••••••••• C••••••••• to C•••••• G•••••••• W••••• A•••••••
left Jun 4, 2007, registered Jun 6, 2007 (2 days) · Other
F•••••••• E•••••••• C••••••••• I••• to S••••••• F•••••••• A•••• M••••••••• I•••
left Nov 19, 2004, registered Nov 12, 2003 (-373 days) · Other
S••••••• F•••••••• I••••••••• G••••• I••• to N•• E•••••• S••••••••• C•••••••••
left Nov 9, 2004, registered Jan 6, 2005 (58 days) · Other
S••••••• F•••••••• A•••• M••••••••• I••• to S••••••• F•••••••• I••••••••• G••••• I•••
left Apr 22, 2004, registered Jun 17, 2004 (56 days) · Other
F•••• B•••• S••••••••• I••• to F•••••••• E•••••••• C••••••••• I•••
left Aug 18, 2003, registered Nov 6, 2003 (80 days) · Other

Signals

No dated event on this person.

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: Broker-dealer affiliated wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address