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

N••••• E••••• N••••••••

L•• F•••••••• L••BD affiliatedDes Plaines, Il dual registrantIAPD 6795052

Feed of 09/14/2026

At current firm

0 y

since Jun 30, 2026

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

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 30, 2026 · Des Plaines, Il
H•••••• I••••••••• I••• independent RIA
Sep 22, 2025 to Jun 22, 2026 · Madison, Wi
M•••• C••••••• A••••••• S•••••• BD affiliated
Feb 27, 2024 to Apr 15, 2026 · Libertyville, Il
M••••• L•• independent RIA
Aug 26, 2020 to Jan 23, 2024 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

H•••••• I••••••••• I••• to L•• F•••••••• L••
left Jun 22, 2026, registered Jun 30, 2026 (8 days) · RIA to affiliated broker-dealer or bank
M•••• C••••••• A••••••• S•••••• to H•••••• I••••••••• I•••
left Apr 15, 2026, registered Sep 22, 2025 (-205 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M••••• L•• to M•••• C••••••• A••••••• S••••••
left Jan 23, 2024, registered Feb 27, 2024 (35 days) · RIA to affiliated broker-dealer or bank

Signals

N••••• E••••• N•••••••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-06-30)
Jun 22, 2026 · Advisor changed firm · fact
N••••• E••••• N•••••••• left M•••• C••••••• A••••••• S•••••• for H•••••• I••••••••• I••• (registered 2025-09-22)
Apr 15, 2026 · Advisor changed firm · fact
N••••• E••••• N•••••••• left M••••• L•• for M•••• C••••••• A••••••• S•••••• (registered 2024-02-27)
Jan 23, 2024 · 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