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

E••• W•••• S••••••••

K••••• C••••••• L••state registeredDekalb, IlIA-onlyIAPD 7299597

Certified Financial Planner

Feed of 09/14/2026

Also filed as E••• S••••••••

At current firm

1 y

since Jun 17, 2025

In the industry

15 y

since Jan 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• C••••••• L•• state registered current
since Jun 17, 2025 · Dekalb, Il
H•••••• I••••••••• S•••••••• L•• independent RIA
Apr 7, 2022 to Jun 18, 2025 · Oakbrook Terrace, Il
E•••• A••••••• I••• independent RIA
Apr 7, 2022 to Jun 18, 2025 · Oakbrook Terrace, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2021 to Mar 3, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

H•••••• I••••••••• S•••••••• L•• to E•••• A••••••• I•••
left Jun 18, 2025, registered Apr 7, 2022 (-1168 days) · RIA to RIA
E•••• A••••••• I••• to K••••• C••••••• L••
left Jun 18, 2025, registered Jun 17, 2025 (-1 days) · RIA to a state-registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• I••••••••• S•••••••• L••
left Mar 3, 2022, registered Apr 7, 2022 (35 days) · Wirehouse to independent RIA

Signals

E••• W•••• S•••••••• left H•••••• I••••••••• S•••••••• L•• for E•••• A••••••• I••• (registered 2022-04-07)
Jun 18, 2025 · Advisor changed firm · fact
E••• W•••• S•••••••• left E•••• A••••••• I••• for K••••• C••••••• L•• (registered 2025-06-17)
Jun 18, 2025 · Advisor changed firm · fact
E••• W•••• S•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H•••••• I••••••••• S•••••••• L•• (registered 2022-04-07)
Mar 3, 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: STATE REGISTEREDderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address