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•••••• A•••••

C••••• I••••••••• A••••••• L••BD affiliatedSchaumburg, Il dual registrantIAPD 4588093

Personal Financial Specialist

Feed of 09/15/2026

At current firm

2 y

since Feb 6, 2024

In the industry

27 y

since Sep 1, 1999 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Schaumburg, Il
A•••••• P••••••• P•••••••• I••• BD affiliated current
since Feb 6, 2024 · Dubuque, Ia
A•••••• A••••••• S••••••• former
Oct 25, 2019 to Sep 5, 2025 · Rogers, Ar
L•••• A••••• W••••• M••••••••• L•• unclassified
Jul 21, 2008 to Nov 17, 2008 · Rogers, Ar
1•• G••••• A••••••• I•• former
Jan 2, 2004 to Oct 25, 2019 · Rogers, Ar
E•••••••• A•••••••• L•• national BD
Apr 24, 2003 to Jan 8, 2004 · Rogers, Ar

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to A•••••• P••••••• P•••••••• I•••
left Sep 5, 2025, registered Feb 6, 2024 (-577 days) · channel change inside one enterprise, not a move · moved with a team
1•• G••••• A••••••• I•• to L•••• A••••• W••••• M••••••••• L••
left Oct 25, 2019, registered Jul 21, 2008 (-4113 days) · Other
L•••• A••••• W••••• M••••••••• L•• to A•••••• A••••••• S•••••••
left Nov 17, 2008, registered Oct 25, 2019 (3994 days) · Other
E•••••••• A•••••••• L•• to 1•• G••••• A••••••• I••
left Jan 8, 2004, registered Jan 2, 2004 (-6 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address