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

L••• J••• S•••••••••

R••••••••• C•••••• M•••••••••BD affiliatedChicago, Il dual registrantIAPD 7328656

Certified Financial Planner

Feed of 09/15/2026

Also filed as L••• J••• S•••••••••

At current firm

1 y

since Jan 31, 2025

In the industry

16 y

since Sep 1, 2010 (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

R••••••••• C•••••• M••••••••• BD affiliated current
since Jan 31, 2025 · Saratoga Springs, Ny
R••••••••• C•••••• M••••••••• BD affiliated
Jan 31, 2025 to Nov 6, 2025 · Saratoga Springs, Ny
J••••• M••••••••• S•••• L•• BD affiliated
Apr 11, 2023 to Feb 24, 2025 · Saratoga Springs, Ny
P•••••••• S••••••••• I••• BD affiliated
May 25, 2021 to Mar 30, 2023 · Latham, Ny

Moves

a registration end followed by a registration begin elsewhere

R••••••••• C•••••• M••••••••• to R••••••••• C•••••• M•••••••••
left Nov 6, 2025, registered Jan 31, 2025 (-279 days) · channel change inside one enterprise, not a move
J••••• M••••••••• S•••• L•• to R••••••••• C•••••• M•••••••••
left Feb 24, 2025, registered Jan 31, 2025 (-24 days) · Affiliated broker-dealer or bank to another · moved with a team
P•••••••• S••••••••• I••• to J••••• M••••••••• S•••• L••
left Mar 30, 2023, registered Apr 11, 2023 (12 days) · Affiliated broker-dealer or bank to another

Signals

L••• J••• S••••••••• left J••••• M••••••••• S•••• L•• for R••••••••• C•••••• M••••••••• (registered 2025-01-31)
Feb 24, 2025 · Advisor changed firm · fact
L••• J••• S••••••••• left P•••••••• S••••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2023-04-11)
Mar 30, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address