DFX Intelligence
RIA Intelligence
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Registered advisor
S••••• R• T•••••
Feed of 09/14/2026
At current firm
0 y
since Feb 11, 2026
In the industry
10 y
since Mar 1, 2016 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 11, 2026 · Oak Brook, Il
- M••••• S•••••• wirehouseSep 5, 2023 to Feb 10, 2026 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerDec 17, 2020 to Sep 5, 2023 · Chicago, Il
- E••••• J•••• national BDJul 15, 2016 to Nov 6, 2020 · Carpentersville, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Feb 10, 2026, registered Feb 11, 2026 (1 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Nov 6, 2020, registered Dec 17, 2020 (41 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- S••••• R• T••••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2026-02-11)Feb 10, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address