DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••• Z••••••
Feed of 09/14/2026
Also filed as A••• Z••••••
At current firm
1 y
since Apr 3, 2025
In the industry
17 y
since Jul 1, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Apr 3, 2025 · Highland Park, Il
- M••••• S•••••• wirehouseSep 5, 2023 to Mar 6, 2025 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• formerSep 15, 2020 to Sep 5, 2023 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2018 to Sep 29, 2020 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••••• A••••••• L••left Mar 6, 2025, registered Apr 3, 2025 (28 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Sep 29, 2020, registered Sep 15, 2020 (-14 days) · Wirehouse to independent RIA
Signals
- A••• Z•••••• left M••••• S•••••• for S•••••••• A••••••• L•• (registered 2025-04-03)Mar 6, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address