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•••• L••• M••••••

S••••• W••••• A•••••••• I•••no RAUMChicago, Ildual registrantIAPD 4267708

Feed of 09/15/2026

At current firm

0 y

since Dec 15, 2025

In the industry

25 y

since Oct 31, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• A•••••••• I••• no RAUM current
since Dec 15, 2025 · Chicago, Il
T• A••••••••• I••• former
Jul 15, 2022 to Oct 14, 2022 · Oak Brook, Il
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Oct 12, 2006 · Milwaukee, Wi
B••• O•• S••••••••• C••••••••• unclassified
Mar 4, 2004 to Jul 6, 2005 · Milwaukee, Wi
B••• O•• S••••••••• C••••••••• unclassified
Dec 19, 2003 to Feb 24, 2004 · Milwaukee, Wi
S••••• C•••••• M••••••••• I•• unclassified
Feb 28, 2002 to Sep 5, 2003 · Menomonee Falls, Wi

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to S••••• W••••• A•••••••• I•••
left Oct 14, 2022, registered Dec 15, 2025 (1158 days) · channel change inside one enterprise, not a move
C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••
left Oct 12, 2006, registered Jul 15, 2022 (5755 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
S••••• C•••••• M••••••••• I•• to B••• O•• S••••••••• C•••••••••
left Sep 5, 2003, registered Dec 19, 2003 (105 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: No RAUM reportedderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address