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

M•••••• J••••• F•••••

C••••• I••••••••• A••••••• L••BD affiliatedRoscoe, Il dual registrantIAPD 4187172

Feed of 09/14/2026

At current firm

2 y

since Mar 21, 2024

In the industry

23 y

since Jul 8, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 Mar 21, 2024 · Roscoe, Il
A••••••••• I••••••••• S•••••••• I••• independent RIA
Mar 15, 2016 to Aug 23, 2022 · Janesville, Wi
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 2, 2014 to Mar 11, 2016 · Rockton, Il
A••••••••• I••••••••• S•••••••• I••• independent RIA
Jul 11, 2013 to May 23, 2014 · Rockford, Il
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 3, 2013 · Roscoe, Il
C•••• I••••••••• S••••••• C•••• former
Jul 27, 2009 to Oct 1, 2012 · Roscoe, Il
A••••• I••••••••• S•••••••• I•• unclassified
Mar 2, 2009 to Jul 28, 2009 · Rockford, Il
C•••• I••••••••• S••••••• C•••• former
Apr 17, 2006 to Jun 1, 2007 · Elgin, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 23, 2022, registered Mar 21, 2024 (576 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••• I••••••••• A••••••• L•• to A••••••••• I••••••••• S•••••••• I•••
left Mar 11, 2016, registered Mar 15, 2016 (4 days) · Other
A••••••••• I••••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left May 23, 2014, registered Jun 2, 2014 (10 days) · Other
J••• M••••• S••••••••• L•• to A••••••••• I••••••••• S•••••••• I•••
left Apr 3, 2013, registered Jul 11, 2013 (99 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
A••••• I••••••••• S•••••••• I•• to C•••• I••••••••• S••••••• C••••
left Jul 28, 2009, registered Jul 27, 2009 (-1 days) · Other
C•••• I••••••••• S••••••• C•••• to A••••• I••••••••• S•••••••• I••
left Jun 1, 2007, registered Mar 2, 2009 (640 days) · Other

Signals

M•••••• J••••• F••••• left A••••••••• I••••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
Aug 23, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address