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

M•••••• J••••• H•••••

K•• W••••• P•••••••state registeredNorthbrook, IlIA-onlyIAPD 5369472

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since May 22, 2024

In the industry

18 y

since Jul 16, 2008 (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

K•• W••••• P••••••• state registered current
since May 22, 2024 · Northbrook, Il
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 24, 2022 to May 23, 2024 · Austin, Tx
L•• F•••••••• L•• BD affiliated
Dec 10, 2020 to Jan 24, 2022 · Downers Grove, Il
K••••• A••••••• S•••••••• L•• BD affiliated
Aug 5, 2016 to Dec 18, 2020 · Bannockburn, Il
M•• I•••••••• S•••••••• L•• BD affiliated
Aug 20, 2012 to Jul 21, 2016 · Chicago, Il
C•••• I••••••••• S••••••• C•••• former
Nov 18, 2011 to Jun 7, 2012 · Chicago, Il
O•••• F•• I••• former
Aug 1, 2008 to Oct 3, 2011 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to K•• W••••• P•••••••
left May 23, 2024, registered May 22, 2024 (-1 days) · Affiliated broker-dealer or bank to a state-registered adviser
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 24, 2022, registered Jan 24, 2022 (0 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Dec 18, 2020, registered Dec 10, 2020 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
M•• I•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jul 21, 2016, registered Aug 5, 2016 (15 days) · Other
C•••• I••••••••• S••••••• C•••• to M•• I•••••••• S•••••••• L••
left Jun 7, 2012, registered Aug 20, 2012 (74 days) · Other
O•••• F•• I••• to C•••• I••••••••• S••••••• C••••
left Oct 3, 2011, registered Nov 18, 2011 (46 days) · Other

Signals

M•••••• J••••• H••••• left K••••• A••••••• S•••••••• L•• for K•• W••••• P••••••• (registered 2024-05-22)
May 23, 2024 · Advisor changed firm · fact
M•••••• J••••• H••••• left L•• F•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-01-24)
Jan 24, 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address