DFX Intelligence
RIA Intelligence
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Registered advisor
S••••• L••• M•••••••••
Feed of 09/15/2026
Also filed as S••••• L••• M•••••••••
At current firm
20 y
since Jun 9, 2006
In the industry
26 y
since Sep 13, 2000 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 9, 2006 · Woodridge, Il
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 4, 2004 to Sep 22, 2004 · Mokena, Il
- A••••••••• F•••••••• S•••••••• L•• national BDSep 18, 2000 to Jun 26, 2002 · Tinley Park, Il
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 22, 2004, registered Jun 9, 2006 (625 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 26, 2002, registered Feb 4, 2004 (588 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address