DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
At current firm
5 y
since Mar 24, 2021
In the industry
15 y
since Sep 16, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 24, 2021 · Evergreen Park, Il
- B•• H••••• F•••••••• A•••••••• I•• formerJun 16, 2014 to Mar 24, 2021 · Evergreen Park, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2011 to Jun 12, 2014 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•• H••••• F•••••••• A•••••••• I••left Jun 12, 2014, registered Jun 16, 2014 (4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address