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

P•••••• G•••

L•• F•••••••• L••BD affiliatedPark Ridge, Ildual registrantIAPD 4440151

Feed of 09/14/2026

Also filed as P•••••• A G•••

At current firm

2 y

since Mar 5, 2024

In the industry

24 y

since Feb 5, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Mar 5, 2024 · Park Ridge, Il
C•••••• P•••• F•••••••• G••••• L••• former
Jan 3, 2017 to Jan 8, 2024 · Glenview, Il
L•••• F••• A••••••• S••••••• BD affiliated
Apr 24, 2014 to Mar 23, 2017 · Chicago, Il
L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated
May 1, 2006 to Apr 11, 2014 · Elmhurst, Il
O••••••••• • C•• I••• BD affiliated
Aug 25, 2005 to Sep 27, 2005 · Chicago, Il
M••••• S•••••• D• I••• unclassified
Jan 23, 2003 to Aug 23, 2005 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••• P•••• F•••••••• G••••• L••• to L•• F•••••••• L••
left Jan 8, 2024, registered Mar 5, 2024 (57 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•••• F••• A••••••• S••••••• to C•••••• P•••• F•••••••• G••••• L•••
left Mar 23, 2017, registered Jan 3, 2017 (-79 days) · Other
L•••••• S•• I••••••••• A•••••••• L••••• to L•••• F••• A••••••• S•••••••
left Apr 11, 2014, registered Apr 24, 2014 (13 days) · Other
O••••••••• • C•• I••• to L•••••• S•• I••••••••• A•••••••• L•••••
left Sep 27, 2005, registered May 1, 2006 (216 days) · Other
M••••• S•••••• D• I••• to O••••••••• • C•• I•••
left Aug 23, 2005, registered Aug 25, 2005 (2 days) · Other

Signals

P•••••• G••• left C•••••• P•••• F•••••••• G••••• L••• for L•• F•••••••• L•• (registered 2024-03-05)
Jan 8, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address