DFX 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
S••••••• W•••••
Feed of 09/14/2026
Also filed as S••••••• W••••••••• S••••••• W••••••••• S• W•••••
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Oct 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Hillside, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 17, 2024 to Mar 31, 2025 · Oak Brook, Il
- C•••••• S••••• • C••• I••• national BDApr 7, 2023 to Jan 2, 2024 · South Barrington, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 16, 2021 to Apr 5, 2023 · Oak Brook, Il
- W•••• F•••• A••••••• wirehouseNov 1, 2019 to Mar 17, 2020 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 2, 2024, registered Jan 17, 2024 (15 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Apr 5, 2023, registered Apr 7, 2023 (2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 17, 2020, registered Jul 16, 2021 (486 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJan 2, 2024 · Advisor changed firm · fact
- ••• LockedApr 5, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address