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

B•••• A•••• P••••••

N••••••• T•••• S••••••••• I••BD affiliatedChicago, Il dual registrantIAPD 5464292

Feed of 09/15/2026

Also filed as B•••• P••••••

At current firm

0 y

since Feb 3, 2026

In the industry

18 y

since Mar 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••• T•••• S••••••••• I•• BD affiliated current
since Feb 3, 2026 · Palatine, Il
J••• M••••• S••••••••• L•• wirehouse
Sep 1, 2023 to Apr 8, 2025 · Chicago, Il
U•• F•••••••• S••••••• I••• wirehouse
Jul 31, 2020 to Sep 14, 2023 · Barrington, Il
H••• S••••••••• •••• I••• BD affiliated
May 10, 2017 to Mar 31, 2020 · Chicago, Il
W•••• F•••• A••••••• wirehouse
Mar 13, 2013 to Apr 18, 2017 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to N••••••• T•••• S••••••••• I••
left Apr 8, 2025, registered Feb 3, 2026 (301 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Sep 14, 2023, registered Sep 1, 2023 (-13 days) · Wirehouse to wirehouse
H••• S••••••••• •••• I••• to U•• F•••••••• S••••••• I•••
left Mar 31, 2020, registered Jul 31, 2020 (122 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Apr 18, 2017, registered May 10, 2017 (22 days) · Other

Signals

B•••• A•••• P•••••• left J••• M••••• S••••••••• L•• for N••••••• T•••• S••••••••• I•• (registered 2026-02-03)
Apr 8, 2025 · Advisor changed firm · fact
B•••• A•••• P•••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-09-01)
Sep 14, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address