DFX Intelligence
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Registered advisor
A•••••••• D••••• B••••••
Feed of 09/14/2026
At current firm
4 y
since Apr 29, 2022
In the industry
22 y
since Apr 8, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 29, 2022 · Chicago, Il
- W•••• F•••• A••••••• wirehouseMay 21, 2015 to May 5, 2022 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseNov 4, 2011 to May 15, 2012 · Winnetka, Il
- B•••••• C•••••• M••••••••• L•• unclassifiedFeb 24, 2009 to Oct 17, 2011 · Peoria, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 5, 2007 · Peoria, Il
- M••••• S•••••• D• I••• unclassifiedApr 8, 2004 to Apr 2, 2007 · Peoria, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 5, 2022, registered Apr 29, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 15, 2012, registered May 21, 2015 (1101 days) · Wirehouse to wirehouse
- B•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Oct 17, 2011, registered Nov 4, 2011 (18 days) · Other
- M••••• S•••••• • C•• L•• to B•••••• C•••••• M••••••••• L••left Jun 5, 2007, registered Feb 24, 2009 (630 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- A•••••••• D••••• B•••••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2022-04-29)May 5, 2022 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address