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

S••••• N•••

F•••• T•••• S••••••••• I•••BD affiliatedAlgonquin, Il dual registrantIAPD 6882674

Feed of 09/15/2026

Also filed as Sandy N•••

At current firm

2 y

since Apr 4, 2024

In the industry

10 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• T•••• S••••••••• I••• BD affiliated current
since Apr 4, 2024 · Cary, Il
H••••••••• F•••••••• A••••••• BD affiliated
Feb 7, 2023 to Mar 21, 2024 · Palatine, Il
G••••••• W••••• P•••••••• L•• independent RIA
Sep 14, 2021 to Nov 8, 2022 · Chicago, Il
R•••• S••••• A•••••••• L•• independent RIA
May 14, 2018 to Jun 9, 2021 · Aurora, Il

Moves

a registration end followed by a registration begin elsewhere

H••••••••• F•••••••• A••••••• to F•••• T•••• S••••••••• I•••
left Mar 21, 2024, registered Apr 4, 2024 (14 days) · Affiliated broker-dealer or bank to another
G••••••• W••••• P•••••••• L•• to H••••••••• F•••••••• A•••••••
left Nov 8, 2022, registered Feb 7, 2023 (91 days) · Affiliated broker-dealer or bank to another
R•••• S••••• A•••••••• L•• to G••••••• W••••• P•••••••• L••
left Jun 9, 2021, registered Sep 14, 2021 (97 days) · RIA to a newly registered adviser

Signals

S••••• N••• left H••••••••• F•••••••• A••••••• for F•••• T•••• S••••••••• I••• (registered 2024-04-04)
Mar 21, 2024 · Advisor changed firm · fact
S••••• N••• left G••••••• W••••• P•••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2023-02-07)
Nov 8, 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