DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••••• M•••••• W••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
25 y
since Jan 5, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Orland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 20, 2019 to Mar 31, 2025 · Chicago, Il
- P•• W••••• M••••••••• BD affiliatedMar 2, 2011 to Aug 17, 2012 · Shorewood, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 3, 2011 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 5, 2005 to Jun 1, 2009 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedNov 25, 2003 to Apr 5, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 17, 2012, registered Nov 20, 2019 (2651 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Mar 3, 2011, registered Mar 2, 2011 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••••••• G••••• M•••••• I•••left Apr 5, 2005, registered Apr 5, 2005 (0 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address