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.

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Registered advisor

C•••••• L••••

C••••••independent RIAChicago, IlIA-onlyIAPD 6085421

Certified Financial Planner

Feed of 09/14/2026

Also filed as Colleen Anne Dumke

At current firm

0 y

since Feb 9, 2026

In the industry

12 y

since Jun 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

n/a

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• independent RIA current
since Feb 9, 2026 · Chicago, Il
H•••••••• A•••••••• L•• BD affiliated
May 9, 2024 to Sep 17, 2025 · Chicago, Il
F•••••••• A••••••• L•• mixed wealth
Aug 28, 2018 to Dec 20, 2023 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

H•••••••• A•••••••• L•• to C••••••
left Sep 17, 2025, registered Feb 9, 2026 (145 days) · Affiliated broker-dealer or bank to independent RIA
F•••••••• A••••••• L•• to H•••••••• A•••••••• L••
left Dec 20, 2023, registered May 9, 2024 (141 days) · RIA to affiliated broker-dealer or bank

Signals

C•••••• L•••• left H•••••••• A•••••••• L•• for Corient (registered 2026-02-09)
Sep 17, 2025 · Advisor changed firm · fact
C•••••• L•••• left F•••••••• A••••••• L•• for H•••••••• A•••••••• L•• (registered 2024-05-09)
Dec 20, 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address