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.

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Registered advisor

C••••• A•••••• S••••••

C•••••• A••••••• L••asset managerNorthbrook, Ildual registrantIAPD 5021329

Feed of 09/14/2026

Also filed as C••••• A S•••••• Salinas

At current firm

13 y

since Dec 17, 2012

In the industry

20 y

since Nov 18, 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

C•••••• A••••••• L•• asset manager current
since Dec 17, 2012 · Northbrook, Il
C•••••• W••••• M••••••••• L•• independent RIA
Sep 28, 2009 to Dec 12, 2012 · Naperville, Il
O••••••••• • C•• I••• BD affiliated
May 16, 2008 to Apr 2, 2009 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Jun 14, 2007 to May 22, 2008 · Chicago, Il
U•• F•••••••• S••••••• I••• wirehouse
Nov 21, 2005 to May 25, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••• W••••• M••••••••• L•• to C•••••• A••••••• L••
left Dec 12, 2012, registered Dec 17, 2012 (5 days) · Other
O••••••••• • C•• I••• to C•••••• W••••• M••••••••• L••
left Apr 2, 2009, registered Sep 28, 2009 (179 days) · Other
J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••
left May 22, 2008, registered May 16, 2008 (-6 days) · Other
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left May 25, 2007, registered Jun 14, 2007 (20 days) · Wirehouse to wirehouse

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: Asset manager (funds and pooled vehicles)derived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address