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• E••••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il IA-onlyIAPD 6520517

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••• E••••••

At current firm

1 y

since Jan 2, 2025

In the industry

11 y

since Jul 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Jan 2, 2025 · De Pere, Wi
F•••••••• P••••••• A•• I••••••••• S•••••••• I••• former
Jun 30, 2023 to Feb 4, 2025 · De Pere, Wi
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jul 3, 2023 · Appleton, Wi
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 27, 2021 to Jul 3, 2023 · Appleton, Wi
T• A••••••••• I••• former
Jul 27, 2021 to Oct 14, 2022 · Appleton, Wi
C•••••• S••••• • C••• I••• national BD
Jul 21, 2021 to Jul 27, 2021 · Appleton, Wi
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 5, 2021 to Jun 21, 2021 · De Pere, Wi
T• A••••••••• I••• former
Feb 27, 2018 to Jan 11, 2021 · Appleton, Wi
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Dec 31, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jan 20, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

F•••••••• P••••••• A•• I••••••••• S•••••••• I••• to H•••••••• A•••••••• L••
left Feb 4, 2025, registered Jan 2, 2025 (-33 days) · RIA to affiliated broker-dealer or bank · moved with a team
C•••••• S••••• • C••• I••• to F•••••••• P••••••• A•• I••••••••• S•••••••• I•••
left Jul 3, 2023, registered Jun 30, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Jul 3, 2023, registered Jan 26, 2022 (-523 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jul 27, 2021 (-444 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Jul 27, 2021, registered Jul 27, 2021 (0 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Jun 21, 2021, registered Jul 21, 2021 (30 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Jan 11, 2021, registered Jan 5, 2021 (-6 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

C••• E• E•••••• left F•••••••• P••••••• A•• I••••••••• S•••••••• I••• for H•••••••• A•••••••• L•• (registered 2025-01-02)
Feb 4, 2025 · Advisor changed firm · fact
C••• E• E•••••• left C•••••• S••••• • C••• I••• for F•••••••• P••••••• A•• I••••••••• S•••••••• I••• (registered 2023-06-30)
Jul 3, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address