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

A••••• L•••••• O•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSterling, Ildual registrantIAPD 5800041

Feed of 09/14/2026

Also filed as A••••• O•••••

At current firm

1 y

since Jan 13, 2025

In the industry

16 y

since Aug 26, 2010 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jan 13, 2025 · Sterling, Il
M•••••• W••••• M••••••••• other
Aug 22, 2023 to Jan 13, 2025 · Effingham, Il
U••• B•••••• I••••••••• I••• former
Nov 30, 2018 to Aug 22, 2023 · Rockford, Il
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jun 18, 2014 to Nov 29, 2018 · Downers Grove, Il
T••••••• I••••••••• M••••••••• I••• BD affiliated
Aug 30, 2010 to Aug 8, 2012 · Morrison, Il

Moves

a registration end followed by a registration begin elsewhere

M•••••• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 13, 2025, registered Jan 13, 2025 (0 days) · Other · moved with a team
U••• B•••••• I••••••••• I••• to M•••••• W••••• M•••••••••
left Aug 22, 2023, registered Aug 22, 2023 (0 days) · Other
T••••••• I••••••••• M••••••••• I••• to U••• B•••••• I••••••••• I•••
left Nov 29, 2018, registered Nov 30, 2018 (1 days) · Affiliated broker-dealer or bank to another

Signals

A••••• L•••••• O••••• left M•••••• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-01-13)
Jan 13, 2025 · Advisor changed firm · fact
A••••• L•••••• O••••• left U••• B•••••• I••••••••• I••• for M•••••• W••••• M••••••••• (registered 2023-08-22)
Aug 22, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address