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••••• D•••••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 6235573

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Feb 4, 2025

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

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 Feb 4, 2025 · Centennial, Co
D••••••• W••••• M••••••••• former
Aug 3, 2020 to Mar 31, 2025 · Centennial, Co
S••••••••• A•••••• A•••••••• I••• former
Jul 5, 2017 to Feb 28, 2022 · Centennial, Co
N••••• A•••• M••••••••• L•• mixed wealth
Aug 14, 2014 to May 23, 2017 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

D••••••• W••••• M••••••••• to H•••••••• A•••••••• L••
left Mar 31, 2025, registered Feb 4, 2025 (-55 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••••••• A•••••• A•••••••• I••• to D••••••• W••••• M•••••••••
left Feb 28, 2022, registered Aug 3, 2020 (-574 days) · Other · moved with a team
N••••• A•••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left May 23, 2017, registered Jul 5, 2017 (43 days) · Other

Signals

S••••• D••••••• left D••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2025-02-04)
Mar 31, 2025 · Advisor changed firm · fact
S••••• D••••••• left S••••••••• A•••••• A•••••••• I••• for D••••••• W••••• M••••••••• (registered 2020-08-03)
Feb 28, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address