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

B•••••• P•••••• B••••

L•• F•••••••• L••BD affiliatedGlenview, Ildual registrantIAPD 4582827

Feed of 09/14/2026

Also filed as B•••••• P•••••• B••••

At current firm

5 y

since Jan 29, 2021

In the industry

23 y

since Oct 24, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Jan 29, 2021 · Glenview, Il
C••••• A••••••• L•• former
Apr 3, 2020 to Feb 1, 2021 · Saukville, Wi
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 12, 2018 to Apr 7, 2020 · Northbrook, Il
G••••••••• W••••• M••••••••• independent RIA
Sep 10, 2018 to Dec 10, 2018 · Chicago, Il
N•••••• W••••• S••••••••• I••• former
Apr 19, 2017 to May 1, 2017 · Wheaton, Il
A•••• C•••• I••••••••• L•• former
Apr 17, 2017 to Sep 12, 2018 · Wheaton, Il
J••• M••••• S••••••••• L•• wirehouse
Jun 27, 2014 to Apr 26, 2017 · Park Ridge,, Il
A••••• A•• P••••••• S••••••• BD affiliated
Apr 16, 2014 to Jun 13, 2014 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Nov 2, 2010 to Apr 10, 2014 · Schaumburg, Il
S•••••••• A••••••• L•• national BD
Sep 27, 2005 to Oct 19, 2010 · Schaumburg, Il
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Aug 23, 2005 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
Jun 21, 2004 to Jul 6, 2005 · Chicago, Il
M•• F•••••••• S•••••••• I••• former
Jan 27, 2004 to Jun 14, 2004 · Downers, Il

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to L•• F•••••••• L••
left Feb 1, 2021, registered Jan 29, 2021 (-3 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to C••••• A••••••• L••
left Apr 7, 2020, registered Apr 3, 2020 (-4 days) · Affiliated broker-dealer or bank to another
G••••••••• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••
left Dec 10, 2018, registered Dec 12, 2018 (2 days) · RIA to affiliated broker-dealer or bank
A•••• C•••• I••••••••• L•• to N•••••• W••••• S••••••••• I•••
left Sep 12, 2018, registered Apr 19, 2017 (-511 days) · Other
N•••••• W••••• S••••••••• I••• to G••••••••• W••••• M•••••••••
left May 1, 2017, registered Sep 10, 2018 (497 days) · Other
J••• M••••• S••••••••• L•• to A•••• C•••• I••••••••• L••
left Apr 26, 2017, registered Apr 17, 2017 (-9 days) · Other
A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••
left Jun 13, 2014, registered Jun 27, 2014 (14 days) · Other
C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••
left Apr 10, 2014, registered Apr 16, 2014 (6 days) · Other
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 19, 2010, registered Nov 2, 2010 (14 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••
left Aug 23, 2005, registered Sep 27, 2005 (35 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
M•• F•••••••• S•••••••• I••• to B••• O•• S••••••••• C•••••••••
left Jun 14, 2004, registered Jun 21, 2004 (7 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address