DFX Intelligence
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Registered advisor
C••• B•••• H•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••• H•••••••
At current firm
3 y
since Oct 3, 2022
In the industry
19 y
since Sep 20, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2022 · New Lenox, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 28, 2010 to Oct 13, 2022 · New Lenox, Il
- L•• F•••••••• L•• BD affiliatedMay 21, 2009 to Oct 18, 2010 · Chicago, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 18, 2008 to May 1, 2009 · Chicago, Il
- M••••• G••••• A••••••• I••• independent RIAJul 3, 2008 to Aug 21, 2008 · Schaumburg, Il
- M••••• A••••••• unclassifiedSep 21, 2007 to Jun 26, 2008 · Schaumburg, Il
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 13, 2022, registered Oct 3, 2022 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2010, registered Oct 28, 2010 (10 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2009, registered May 21, 2009 (20 days) · Other
- M••••• G••••• A••••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 21, 2008, registered Aug 18, 2008 (-3 days) · Other
- M••••• A••••••• to M••••• G••••• A••••••• I•••left Jun 26, 2008, registered Jul 3, 2008 (7 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address