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

M•••••• A•••••• R•••

A• W••••• M••••••••• L••BD affiliatedChicago, IlIA-onlyIAPD 6768662

Feed of 09/14/2026

Also filed as M•••••• A•••••• R•••

At current firm

1 y

since Jun 13, 2025

In the industry

10 y

since Aug 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, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A• W••••• M••••••••• L•• BD affiliated current
since Jun 13, 2025 · Chicago, Il
S••••• I••••••••• L•• independent RIA
Feb 19, 2025 to May 7, 2025 · Chicago, Il
G•••••••• F•••••••• G••••• L•• independent RIA
Jul 12, 2023 to Nov 18, 2024 · Oakbrook Terrace, Il
F••••• I••••••••• independent RIA
Apr 20, 2021 to Jun 14, 2023 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 12, 2017 to Apr 16, 2018 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S••••• I••••••••• L•• to A• W••••• M••••••••• L••
left May 7, 2025, registered Jun 13, 2025 (37 days) · RIA to affiliated broker-dealer or bank
G•••••••• F•••••••• G••••• L•• to S••••• I••••••••• L••
left Nov 18, 2024, registered Feb 19, 2025 (93 days) · RIA to RIA
F••••• I••••••••• to G•••••••• F•••••••• G••••• L••
left Jun 14, 2023, registered Jul 12, 2023 (28 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Apr 16, 2018, registered Apr 20, 2021 (1100 days) · Wirehouse to independent RIA

Signals

M•••••• A•••••• R••• left S••••• I••••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-06-13)
May 7, 2025 · Advisor changed firm · fact
M•••••• A•••••• R••• left G•••••••• F•••••••• G••••• L•• for S••••• I••••••••• L•• (registered 2025-02-19)
Nov 18, 2024 · Advisor changed firm · fact
M•••••• A•••••• R••• left F••••• I••••••••• for G•••••••• F•••••••• G••••• L•• (registered 2023-07-12)
Jun 14, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address