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•••••• A• M••••

B•••••••• I••••••••• M••••••••• L••asset managerChicago, Il dual registrantIAPD 6896965

Chartered Financial Analyst

Feed of 09/15/2026

Also filed as S•••••• M••••

At current firm

1 y

since Mar 28, 2025

In the industry

10 y

since Jan 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

B•••••••• I••••••••• M••••••••• L•• asset manager current
since Mar 28, 2025 · Chicago, Il
L•• F•••••••• L•• BD affiliated
Jul 15, 2022 to May 10, 2024 · Denville, Nj
R•• W••••• B•••••••• I••• independent RIA
Apr 19, 2021 to Jun 16, 2022 · Montclair, Nj
C••••• C•••••• W••••• M••••••••• independent RIA
Jan 18, 2018 to May 6, 2021 · Martinsville, Nj

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to B•••••••• I••••••••• M••••••••• L••
left May 10, 2024, registered Mar 28, 2025 (322 days) · Other
R•• W••••• B•••••••• I••• to L•• F•••••••• L••
left Jun 16, 2022, registered Jul 15, 2022 (29 days) · RIA to RIA
C••••• C•••••• W••••• M••••••••• to R•• W••••• B•••••••• I•••
left May 6, 2021, registered Apr 19, 2021 (-17 days) · RIA to RIA

Signals

S•••••• A• M•••• left L•• F•••••••• L•• for B•••••••• I••••••••• M••••••••• L•• (registered 2025-03-28)
May 10, 2024 · Advisor changed firm · fact
S•••••• A• M•••• left R•• W••••• B•••••••• I••• for L•• F•••••••• L•• (registered 2022-07-15)
Jun 16, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address