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

L••••• J••• C•••••

C•••••• A•••• M••••••••• L••independent RIAChicago, IlIA-onlyIAPD 4409404

Certified Financial Planner

Feed of 09/14/2026

Also filed as L••••• C•••••

At current firm

2 y

since May 21, 2024

In the industry

24 y

since Apr 26, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• A•••• M••••••••• L•• independent RIA current
since May 21, 2024 · Chicago, Il
T•• I••••••• C••••••••• L•• independent RIA
May 21, 2021 to Apr 1, 2024 · Park Ridge, Il
J••• M••••• S••••••••• L•• wirehouse
Oct 4, 2017 to May 27, 2021 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 8, 2015 to Sep 15, 2017 · Chicago, Il
C••••• S••••• S••••••••• •••• L•• former
Jul 1, 2015 to Nov 3, 2015 · Chicago, Il
C•••••• L•• independent RIA
May 17, 2011 to Nov 7, 2013 · Duluth, Mn

Moves

a registration end followed by a registration begin elsewhere

T•• I••••••• C••••••••• L•• to C•••••• A•••• M••••••••• L••
left Apr 1, 2024, registered May 21, 2024 (50 days) · RIA to RIA
J••• M••••• S••••••••• L•• to T•• I••••••• C••••••••• L••
left May 27, 2021, registered May 21, 2021 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Sep 15, 2017, registered Oct 4, 2017 (19 days) · Wirehouse to wirehouse
C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 3, 2015, registered Oct 8, 2015 (-26 days) · Other · moved with a team
C•••••• L•• to C••••• S••••• S••••••••• •••• L••
left Nov 7, 2013, registered Jul 1, 2015 (601 days) · Other

Signals

L••••• J••• C••••• left T•• I••••••• C••••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2024-05-21)
Apr 1, 2024 · 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