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.
Registered advisor
Paul E Kubasiak
Feed of 09/15/2026
At current firm
3 y
since Dec 5, 2022
In the industry
13 y
since Nov 1, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Advice And Planning Services BD affiliated currentsince Dec 5, 2022 · Glenview, Il
- Northern Trust Investments, Incorporated asset managerApr 23, 2020 to Nov 10, 2022 · Chicago, Il
- Sheridan Road Advisors, LLC, A Hub International Company formerAug 14, 2018 to Jun 9, 2020 · Northbrook, Il
- Independent Financial Partners BD affiliatedMar 23, 2015 to Jan 7, 2019 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- Northern Trust Investments, Incorporated to Advice And Planning Servicesleft Nov 10, 2022, registered Dec 5, 2022 (25 days) · Other
- Sheridan Road Advisors, LLC, A Hub International Company to Northern Trust Investments, Incorporatedleft Jun 9, 2020, registered Apr 23, 2020 (-47 days) · Other
- Independent Financial Partners to Sheridan Road Advisors, LLC, A Hub International Companyleft Jan 7, 2019, registered Aug 14, 2018 (-146 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
Signals
- Paul E Kubasiak left Northern Trust Investments, Incorporated for Advice And Planning Services (registered 2022-12-05)Nov 10, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address