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

J•••• A••••• B••••••

I••••• L••independent RIAVernon Hills, Il IA-onlyIAPD 839995

Certified Financial Planner

Feed of 09/15/2026

Also filed as J•••• A B••••••

At current firm

1 y

since Jan 14, 2025

In the industry

27 y

since Mar 26, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••• L•• independent RIA current
since Jan 14, 2025 · Vernon Hills, Il
N• C••••••• L•• former
Mar 27, 2020 to Jan 9, 2025 · Stamford, Ct
S•• A•••••••• I••• former
Jul 6, 2018 to Feb 27, 2020 · Brookfield, Wi
S•• F••••••••• L•• independent RIA
Mar 1, 2016 to Jul 5, 2018 · Buffalo Grove, Il
E•••••• F•••••••• S•••••••• L•• former
Jun 5, 2013 to Dec 17, 2015 · Oak Brook, Il
E••••• F•••••••• G••••• I••• unclassified
Oct 23, 2012 to May 8, 2013 · Lincolnshire, Il
N••• C••••••••• BD affiliated
Aug 13, 2012 to Sep 7, 2012 · Chicago, Il
C••••••••• A•••••••• I•• former
Jul 9, 2010 to Jun 9, 2011 · C•••••••••, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 8, 2007 to Mar 9, 2009 · Chicago, Il
O•••• F•• I••• former
Mar 26, 1999 to Jan 22, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

N• C••••••• L•• to I••••• L••
left Jan 9, 2025, registered Jan 14, 2025 (5 days) · RIA to RIA
S•• A•••••••• I••• to N• C••••••• L••
left Feb 27, 2020, registered Mar 27, 2020 (29 days) · Affiliated broker-dealer or bank to independent RIA
S•• F••••••••• L•• to S•• A•••••••• I•••
left Jul 5, 2018, registered Jul 6, 2018 (1 days) · RIA to affiliated broker-dealer or bank
E•••••• F•••••••• S•••••••• L•• to S•• F••••••••• L••
left Dec 17, 2015, registered Mar 1, 2016 (75 days) · Other
E••••• F•••••••• G••••• I••• to E•••••• F•••••••• S•••••••• L••
left May 8, 2013, registered Jun 5, 2013 (28 days) · Other
N••• C••••••••• to E••••• F•••••••• G••••• I•••
left Sep 7, 2012, registered Oct 23, 2012 (46 days) · Other
C••••••••• A•••••••• I•• to N••• C•••••••••
left Jun 9, 2011, registered Aug 13, 2012 (431 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••••••• A•••••••• I••
left Mar 9, 2009, registered Jul 9, 2010 (487 days) · Other
O•••• F•• I••• to A••••••••• F•••••••• S•••••••• L••
left Jan 22, 2007, registered Jan 8, 2007 (-14 days) · Other

Signals

J•••• A••••• B•••••• left N• C••••••• L•• for I••••• L•• (registered 2025-01-14)
Jan 9, 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address