DFX Intelligence
RIA Intelligence
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Registered advisor
R••• F••••••••• U••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••• Anne F•••••••••
At current firm
0 y
since Jan 5, 2026
In the industry
19 y
since Feb 27, 2007 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• P••••••• W•••••• L•• independent RIA currentsince Jan 5, 2026 · Chicago, Il
- N••••••••• A•••• M••••••••• L•• independent RIAAug 1, 2024 to Dec 31, 2024 · Chicago, Il
- N••••••••• A•••• M••••••••• L•• independent RIAAug 1, 2024 to Mar 20, 2026 · Chicago, Il
- R••••••• V•••• P•••••••• L•• formerJan 14, 2022 to Aug 14, 2024 · Northbrook, Il
- B•••••••• R••••• • F•••••••• I••• independent RIAApr 30, 2015 to Jan 13, 2022 · Chicago, Il
- K••••• I••••••••• G••••• L•• formerMar 25, 2009 to Mar 27, 2015 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• A•••• M••••••••• L•• to F•••• P••••••• W•••••• L••left Mar 20, 2026, registered Jan 5, 2026 (-74 days) · corporate re-registration, not a move
- R••••••• V•••• P•••••••• L•• to N••••••••• A•••• M••••••••• L••left Aug 14, 2024, registered Aug 1, 2024 (-13 days) · RIA to RIA · moved with a team
- B•••••••• R••••• • F•••••••• I••• to R••••••• V•••• P•••••••• L••left Jan 13, 2022, registered Jan 14, 2022 (1 days) · RIA to RIA · moved with a team
- K••••• I••••••••• G••••• L•• to B•••••••• R••••• • F•••••••• I•••left Mar 27, 2015, registered Apr 30, 2015 (34 days) · Other
Signals
- R••• F••••••••• U•••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)Aug 14, 2024 · Advisor changed firm · fact
- R••• F••••••••• U•••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-14)Jan 13, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address