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

S••••• J••• G•••••••

M••••••BD affiliatedOakbrook Terrace, IlIA-onlyIAPD 5687654

Chartered Financial Analyst

Feed of 09/14/2026

At current firm

3 y

since Sep 30, 2022

In the industry

13 y

since Apr 2, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Sep 30, 2022 · Oakbrook Terrace, Il
S••••• W••••• M••••••••• independent RIA
Mar 30, 2022 to Sep 28, 2022 · Rockford, Il
M••••• • S••••••••• W••••• M••••••••• L•• independent RIA
Feb 15, 2017 to Mar 25, 2022 · Lincolnshire, Il
B•• H••••• F•••••••• A•••••••• I•• former
May 5, 2016 to Jan 6, 2017 · Buffalo Grove, Il
C•••••• S••••• • C••• I••• national BD
Dec 3, 2013 to May 9, 2016 · Phoenix, Az
S••••• W••••• A•••••••• I••• no RAUM
Apr 2, 2013 to Dec 3, 2013 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• M••••••••• to M••••••
left Sep 28, 2022, registered Sep 30, 2022 (2 days) · RIA to affiliated broker-dealer or bank
M••••• • S••••••••• W••••• M••••••••• L•• to S••••• W••••• M•••••••••
left Mar 25, 2022, registered Mar 30, 2022 (5 days) · RIA to RIA
B•• H••••• F•••••••• A•••••••• I•• to M••••• • S••••••••• W••••• M••••••••• L••
left Jan 6, 2017, registered Feb 15, 2017 (40 days) · Other
C•••••• S••••• • C••• I••• to B•• H••••• F•••••••• A•••••••• I••
left May 9, 2016, registered May 5, 2016 (-4 days) · Other
S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Dec 3, 2013, registered Dec 3, 2013 (0 days) · channel change inside one enterprise, not a move

Signals

S••••• J••• G••••••• left S••••• W••••• M••••••••• for Mariner (registered 2022-09-30)
Sep 28, 2022 · Advisor changed firm · fact
S••••• J••• G••••••• left M••••• • S••••••••• W••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2022-03-30)
Mar 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address