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

R••••• C••• S•••••••

S••••• W••••• M•••••••••independent RIARockford, Il IA-onlyIAPD 4828399

Certified Financial Planner

Feed of 09/15/2026

Also filed as R••••• C••• S•••••••

At current firm

1 y

since Sep 18, 2025

In the industry

21 y

since Jan 28, 2005 (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

S••••• W••••• M••••••••• independent RIA current
since Sep 18, 2025 · Rockford, Il
E•••••• A••••••• G••••• L•• BD affiliated
Apr 3, 2024 to Aug 21, 2025 · San Marcos, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jan 9, 2024 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 5, 2007 to Sep 7, 2023 · Chicago, Il
T• A••••••••• I••• former
Jul 5, 2007 to Oct 14, 2022 · Oak Brook, Il
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Feb 2, 2005 to Jul 9, 2007 · Northbrook, Il

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to S••••• W••••• M•••••••••
left Aug 21, 2025, registered Sep 18, 2025 (28 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to E•••••• A••••••• G••••• L••
left Jan 9, 2024, registered Apr 3, 2024 (85 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jul 5, 2007 (-5580 days) · corporate re-registration, not a move
T• R••• P•••• A••••••• S•••••••• I••• to T• A••••••••• I•••
left Jul 9, 2007, registered Jul 5, 2007 (-4 days) · Other

Signals

R••••• C••• S••••••• left E•••••• A••••••• G••••• L•• for S••••• W••••• M••••••••• (registered 2025-09-18)
Aug 21, 2025 · Advisor changed firm · fact
R••••• C••• S••••••• left C•••••• S••••• • C••• I••• for E•••••• A••••••• G••••• L•• (registered 2024-04-03)
Jan 9, 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address