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••••••••• D••••• M••••

C•••••• S••••• • C••• I•••national BDChicago, Ildual registrantIAPD 5666883

Feed of 09/14/2026

Also filed as C••••••••• D••••• M••••

At current firm

4 y

since May 23, 2022

In the industry

17 y

since Sep 11, 2009 (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•••••• S••••• • C••• I••• national BD current
since May 23, 2022 · Chicago, Il
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 23, 2016 to Jun 4, 2018 · Chicago, Il
M••••• S•••••• wirehouse
Jan 3, 2013 to Aug 17, 2016 · Chicago, Il
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jun 24, 2011 to Dec 4, 2012 · Chicago, Il
W•••••• B•••• • C•••••• L••••• BD affiliated
Sep 11, 2009 to May 6, 2011 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to C•••••• S••••• • C••• I•••
left Jun 4, 2018, registered May 23, 2022 (1449 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Aug 17, 2016, registered Aug 23, 2016 (6 days) · Other
N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••
left Dec 4, 2012, registered Jan 3, 2013 (30 days) · Other
W•••••• B•••• • C•••••• L••••• to N••••••••• M••••• I••••••••• S•••••••••
left May 6, 2011, registered Jun 24, 2011 (49 days) · Other

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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address