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

C•••• F•••••• P••••••• B•••

G•••••••• F•••••••• A•••••••• L••institutionalRolling Meadows, IlIA-onlyIAPD 5395767

Feed of 09/14/2026

Also filed as C•••• Frances Prentice

At current firm

0 y

since Jul 16, 2026

In the industry

19 y

since Jul 26, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••••• F•••••••• A•••••••• L•• institutional current
since Jul 16, 2026 · Rolling Meadows, Il
C••••••• P••••••• independent RIA
Dec 19, 2021 to Sep 8, 2025 · Overland Park, Ks
L•••••• I••••••••• A•••••••• L•• no RAUM
May 28, 2009 to Apr 11, 2022 · Chicago, Il
B••• P•••••• G•••••••• former
Jul 30, 2007 to Aug 17, 2009 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C••••••• P••••••• to G•••••••• F•••••••• A•••••••• L••
left Sep 8, 2025, registered Jul 16, 2026 (311 days) · Other
L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••
left Apr 11, 2022, registered Dec 19, 2021 (-113 days) · Other · moved with a team
B••• P•••••• G•••••••• to L•••••• I••••••••• A•••••••• L••
left Aug 17, 2009, registered May 28, 2009 (-81 days) · Other

Signals

C•••• F•••••• P••••••• B••• left C••••••• P••••••• for G•••••••• F•••••••• A•••••••• L•• (registered 2026-07-16)
Sep 8, 2025 · Advisor changed firm · fact
C•••• F•••••• P••••••• B••• left L•••••• I••••••••• A•••••••• L•• for C••••••• P••••••• (registered 2021-12-19)
Apr 11, 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: Institutional managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address