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

P•••••• E••••• N•••••

W•••• F•••• A•••••••wirehouseChicago, Il dual registrantIAPD 6917717

Feed of 09/14/2026

Also filed as P•••••• E••••• N•••••

At current firm

0 y

since Feb 19, 2026

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

W•••• F•••• A••••••• wirehouse current
since Feb 19, 2026 · Chicago, Il
A••••••••• I••• BD affiliated
May 8, 2024 to Jan 27, 2026 · Chicago, Il
M••••••••• I••••••••• S••••••• L•• former
Jul 19, 2022 to Apr 19, 2024 · Chicago, Il
F•••• T•••• S••••••••• I••• BD affiliated
May 6, 2019 to Mar 16, 2022 · Niles, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••••• I••• to W•••• F•••• A•••••••
left Jan 27, 2026, registered Feb 19, 2026 (23 days) · Affiliated broker-dealer or bank to wirehouse
M••••••••• I••••••••• S••••••• L•• to A••••••••• I•••
left Apr 19, 2024, registered May 8, 2024 (19 days) · RIA to affiliated broker-dealer or bank
F•••• T•••• S••••••••• I••• to M••••••••• I••••••••• S••••••• L••
left Mar 16, 2022, registered Jul 19, 2022 (125 days) · Affiliated broker-dealer or bank to independent RIA

Signals

P•••••• E••••• N••••• left A••••••••• I••• for W•••• F•••• A••••••• (registered 2026-02-19)
Jan 27, 2026 · Advisor changed firm · fact
P•••••• E••••• N••••• left M••••••••• I••••••••• S••••••• L•• for A••••••••• I••• (registered 2024-05-08)
Apr 19, 2024 · Advisor changed firm · fact
P•••••• E••••• N••••• left F•••• T•••• S••••••••• I••• for M••••••••• I••••••••• S••••••• L•• (registered 2022-07-19)
Mar 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address