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

J••••• N•••••••• P••••

B•••••• L••• A••••••• S•••••••• I•••BD affiliatedChicago, Il dual registrantIAPD 6905352

Feed of 09/15/2026

At current firm

3 y

since Jul 17, 2023

In the industry

13 y

since May 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B•••••• L••• A••••••• S•••••••• I••• BD affiliated current
since Jul 17, 2023 · Swansea, Il
B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated
Sep 13, 2021 to Jul 12, 2023 · St. Louis, Mo
U••• B•••••• I••••••••• I••• former
Aug 12, 2019 to Sep 14, 2021 · Ellisville, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 6, 2019 to Aug 14, 2019 · St Louis, Mo
T• A••••••••• I••• former
Mar 6, 2019 to Aug 14, 2019 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

B••••••• F• E•••••• • C••••••• I••••••••• to B•••••• L••• A••••••• S•••••••• I•••
left Jul 12, 2023, registered Jul 17, 2023 (5 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to B••••••• F• E•••••• • C••••••• I•••••••••
left Sep 14, 2021, registered Sep 13, 2021 (-1 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 14, 2019, registered Mar 6, 2019 (-161 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to U••• B•••••• I••••••••• I•••
left Aug 14, 2019, registered Aug 12, 2019 (-2 days) · RIA to affiliated broker-dealer or bank

Signals

J••••• N•••••••• P•••• left B••••••• F• E•••••• • C••••••• I••••••••• for B•••••• L••• A••••••• S•••••••• I••• (registered 2023-07-17)
Jul 12, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address