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
R•••••• B•••• C•••••••
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
43 y
since Jan 1, 1983 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Palos Heights, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 16, 2016 to Jun 9, 2021 · Marinette, Wi
- M•• F•••••••• S•••••••• I••• formerMar 23, 2007 to May 10, 2016 · Palos Heights, Il
- R•••••••• S••••••••• C••• unclassifiedDec 4, 2001 to Jul 1, 2003 · Palos Heights, Il
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left May 10, 2016, registered May 16, 2016 (6 days) · Other
- R•••••••• S••••••••• C••• to M•• F•••••••• S•••••••• I•••left Jul 1, 2003, registered Mar 23, 2007 (1361 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address