DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••• A• S••••••
Feed of 09/14/2026
Also filed as A•••• A• S••••••••• A• S••••••••• A• S••••••••• A•••••• S••••••••• S••••••
At current firm
1 y
since Nov 14, 2024
In the industry
21 y
since Dec 6, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Rosemont, Il
- P•••• S••••••••• L•• no RAUMMay 3, 2023 to Nov 14, 2024 · Rosemont, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 27, 2007 to Mar 4, 2008 · Chicago, Il
- E•••••••• A•••••••• L•• national BDFeb 17, 2005 to Nov 3, 2005 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Mar 4, 2008, registered May 3, 2023 (5538 days) · Other
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 3, 2005, registered Feb 27, 2007 (481 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address