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••••••••• M•••••• G•••••••

M•• I•••••••• S•••••••• L••BD affiliatedHainesville, Il dual registrantIAPD 6721802

Feed of 09/14/2026

Also filed as C••••••••• M•••••• G•••••••

At current firm

3 y

since Jul 27, 2023

In the industry

10 y

since Sep 1, 2016 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jul 27, 2023 · Chicago, Il
M••••• S•••••• wirehouse
Aug 11, 2022 to Aug 14, 2023 · Milwaukee, Wi
J••• M••••• S••••••••• L•• wirehouse
Jan 25, 2022 to Jul 19, 2022 · Chicago, Il
R••••• W• B•••• • C•• I••••••••• mixed wealth
Oct 23, 2018 to Jan 13, 2022 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to M•• I•••••••• S•••••••• L••
left Aug 14, 2023, registered Jul 27, 2023 (-18 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M••••• S••••••
left Jul 19, 2022, registered Aug 11, 2022 (23 days) · Wirehouse to wirehouse
R••••• W• B•••• • C•• I••••••••• to J••• M••••• S••••••••• L••
left Jan 13, 2022, registered Jan 25, 2022 (12 days) · RIA to wirehouse

Signals

C••••••••• M•••••• G••••••• left M••••• S•••••• for M•• I•••••••• S•••••••• L•• (registered 2023-07-27)
Aug 14, 2023 · Advisor changed firm · fact
C••••••••• M•••••• G••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-08-11)
Jul 19, 2022 · Advisor changed firm · fact
C••••••••• M•••••• G••••••• left R••••• W• B•••• • C•• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-01-25)
Jan 13, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address