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

D••••• E••••• S•••••

E••••• J••••national BDSpring Grove, Ildual registrantIAPD 4491592

Certified Financial Planner

Feed of 09/14/2026

Also filed as Dan S•••••

At current firm

0 y

since Feb 5, 2026

In the industry

24 y

since Apr 9, 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

E••••• J•••• national BD current
since Feb 5, 2026 · Spring Grove, Il
S••••• W••••• P••••••• unclassified
Nov 18, 2024 to Feb 23, 2026 · Woodstock, Il
P•••• S••••••••• L•• no RAUM
Jul 19, 2024 to Aug 30, 2024 · Rosemont, Il
S•••••••• F••••••••• I••• former
Aug 30, 2012 to Jun 1, 2016 · Scottsdale, Az
N••• F•••••••• G••••• I••• former
Mar 1, 2012 to Aug 28, 2012 · Houston, Tx
N•• E•••••• S••••••••• C••••••••• former
Jul 23, 2010 to Mar 14, 2012 · Schaumburg, Il
A••••••••• F•••••••• S•••••••• L•• national BD
May 10, 2005 to Jul 29, 2010 · Crystal Lake, Il
C••••••• I••••••••• S••••••• unclassified
May 21, 2004 to May 13, 2005 · Northbrook, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 9, 2002 to May 21, 2004 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• P••••••• to E••••• J••••
left Feb 23, 2026, registered Feb 5, 2026 (-18 days) · Other
P•••• S••••••••• L•• to S••••• W••••• P•••••••
left Aug 30, 2024, registered Nov 18, 2024 (80 days) · Other
S•••••••• F••••••••• I••• to P•••• S••••••••• L••
left Jun 1, 2016, registered Jul 19, 2024 (2970 days) · Other
N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
left Aug 28, 2012, registered Aug 30, 2012 (2 days) · Other
N•• E•••••• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••
left Mar 14, 2012, registered Mar 1, 2012 (-13 days) · Other
A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Jul 29, 2010, registered Jul 23, 2010 (-6 days) · Other
C••••••• I••••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
left May 13, 2005, registered May 10, 2005 (-3 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••
left May 21, 2004, registered May 21, 2004 (0 days) · Other

Signals

D••••• E••••• S••••• left S••••• W••••• P••••••• for E••••• J•••• (registered 2026-02-05)
Feb 23, 2026 · Advisor changed firm · fact
D••••• E••••• S••••• left P•••• S••••••••• L•• for S••••• W••••• P••••••• (registered 2024-11-18)
Aug 30, 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address