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

A••••• C• J••••

B••••••••• C•••••• M••••••••• L••independent RIAWheaton, IlIA-onlyIAPD 4201581

Feed of 09/14/2026

Also filed as A••••• Christine Smiley

At current firm

1 y

since Jan 29, 2025

In the industry

24 y

since Apr 16, 2002 (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

B••••••••• C•••••• M••••••••• L•• independent RIA current
since Jan 29, 2025 · Wheaton, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 15, 2023 to Sep 30, 2024 · St Charles, Il
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 23, 2023 · Lisle, Il
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Lisle, Il
M••••• S•••••• D• I••• unclassified
Nov 3, 2003 to Apr 2, 2007 · Lisle, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to B••••••••• C•••••• M••••••••• L••
left Sep 30, 2024, registered Jan 29, 2025 (121 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 23, 2023, registered Jun 15, 2023 (-8 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

A••••• C• J•••• left A••••••••• F•••••••• S•••••••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2025-01-29)
Sep 30, 2024 · Advisor changed firm · fact
A••••• C• J•••• left M••••• S•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-15)
Jun 23, 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address