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•••••• P•••••• B••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedStaunton, Il dual registrantIAPD 5927603

Feed of 09/14/2026

Also filed as Pat B••••••

At current firm

1 y

since Jan 31, 2025

In the industry

17 y

since Jan 1, 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jan 31, 2025 · Staunton, Il
C••••• I••••••••• A••••••• L•• BD affiliated
May 4, 2022 to Jan 31, 2025 · Fairview Heights, Il
B•• P•••••••• I••• BD affiliated
Dec 2, 2021 to May 2, 2022 · Cedar Rapids, Ia
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 12, 2020 to Nov 30, 2021 · Fairview Heights, Il
F•••• A••••• A••••••• S•••••••• I••• former
Jan 4, 2012 to Nov 12, 2020 · Fairview Heights, Il

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 31, 2025, registered Jan 31, 2025 (0 days) · Affiliated broker-dealer or bank to another
B•• P•••••••• I••• to C••••• I••••••••• A••••••• L••
left May 2, 2022, registered May 4, 2022 (2 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to B•• P•••••••• I•••
left Nov 30, 2021, registered Dec 2, 2021 (2 days) · Affiliated broker-dealer or bank to another
F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move

Signals

C•••••• P•••••• B•••••• left C••••• I••••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-01-31)
Jan 31, 2025 · Advisor changed firm · fact
C•••••• P•••••• B•••••• left B•• P•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-05-04)
May 2, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address