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•••• E•••••••• F•••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 6215503

Certified Financial Planner

Feed of 09/15/2026

Also filed as C•••• E•••••••• F•••••

At current firm

0 y

since Nov 24, 2025

In the industry

12 y

since Dec 23, 2013 (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

H•••••••• A•••••••• L•• BD affiliated current
since Nov 24, 2025 · Chicago, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 27, 2020 to Oct 27, 2023 · Highland Park, Il
N••••• F•••••••• G••••• I••• independent RIA
Jan 23, 2020 to Sep 17, 2020 · Deerfield, Il
V•••••• C•••••• M••••••••• L• former
Sep 20, 2019 to Feb 3, 2020 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Oct 6, 2014 to Sep 9, 2019 · Chicago, Il
M••••• S•••••• wirehouse
Dec 23, 2013 to Oct 3, 2014 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to H•••••••• A•••••••• L••
left Oct 27, 2023, registered Nov 24, 2025 (759 days) · Affiliated broker-dealer or bank to another
N••••• F•••••••• G••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 17, 2020, registered Nov 27, 2020 (71 days) · RIA to affiliated broker-dealer or bank
V•••••• C•••••• M••••••••• L• to N••••• F•••••••• G••••• I•••
left Feb 3, 2020, registered Jan 23, 2020 (-11 days) · RIA to RIA
J••• M••••• S••••••••• L•• to V•••••• C•••••• M••••••••• L•
left Sep 9, 2019, registered Sep 20, 2019 (11 days) · Wirehouse to independent RIA
M••••• S•••••• to J••• M••••• S••••••••• L••
left Oct 3, 2014, registered Oct 6, 2014 (3 days) · Wirehouse to wirehouse

Signals

C•••• E•••••••• F••••• left F••••••• P••••••• A•• W•••••••• A••••••• for H•••••••• A•••••••• L•• (registered 2025-11-24)
Oct 27, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address