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•••• H••••• P••••

W•••• F•••• A•••••••wirehouseChicago, Il dual registrantIAPD 6066867

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as S•••• H••••• P••••

At current firm

1 y

since Apr 8, 2025

In the industry

14 y

since Jul 23, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Apr 8, 2025 · Milwaukee, Wi
J••• M••••• S••••••••• L•• wirehouse
Jul 27, 2022 to Apr 4, 2025 · Mount Prospect, Il
C•••••• S••••• • C••• I••• national BD
Aug 2, 2019 to Jul 1, 2022 · San Francisco, Ca
L•• F•••••••• L•• BD affiliated
Sep 6, 2017 to Feb 27, 2019 · Houston, Tx
U••• F•••••••• P••••••• S••••••• former
Oct 25, 2013 to Aug 10, 2017 · Addison, Tx
M••••• S•••••• wirehouse
May 24, 2013 to Oct 15, 2013 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Apr 4, 2025, registered Apr 8, 2025 (4 days) · Wirehouse to wirehouse
C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••
left Jul 1, 2022, registered Jul 27, 2022 (26 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to C•••••• S••••• • C••• I•••
left Feb 27, 2019, registered Aug 2, 2019 (156 days) · RIA to affiliated broker-dealer or bank
U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••
left Aug 10, 2017, registered Sep 6, 2017 (27 days) · Other
M••••• S•••••• to U••• F•••••••• P••••••• S•••••••
left Oct 15, 2013, registered Oct 25, 2013 (10 days) · Other

Signals

S•••• H••••• P•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2025-04-08)
Apr 4, 2025 · Advisor changed firm · fact
S•••• H••••• P•••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2022-07-27)
Jul 1, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address