DFX Intelligence

Data Factory

RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)31 years in industry

RICHARD WILLIAM ENGEN

Advisor at GREAT PLAINS ADVISORY SERVICES LLC

Fargo, ND

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:405de42e-3b66-6c29-19a0-3eef680858b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Apr 22, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GREAT PLAINS ADVISORY SERVICES LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 29, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Sep 29, 1994
First registration: Apr 22, 2003
Dual registered: yes, broker-dealer
Other names: RICK ENGEN
IAPD individual key: 2528314

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GREAT PLAINS ADVISORY SERVICES LLC	State registered	Jul 3, 2024	n/a	yes	Fargo, ND	Current employment
GLOBAL ASSETS ADVISORY, LLC	Independent wealth	Mar 16, 2020	Apr 24, 2023	no	FARGO, ND\|ORLANDO, FL\|FARGO, ND	Previous registration
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Bd affiliated wealth	Jan 19, 2016	Aug 19, 2024	no	Fargo, ND\|FARGO, ND	Previous registration
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Bd affiliated wealth	Jun 4, 2012	Dec 31, 2015	no	ORLANDO, FL\|FARGO, ND\|FARGO, ND	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Aug 16, 2010	Nov 8, 2010	no	OVERLAND PARK, KS\|FARGO, ND	Previous registration
FINTEGRA, LLC	Former SEC adviser	Apr 22, 2003	Jul 23, 2010	no	FARGO, ND\|FARGO, ND	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	GLOBAL ASSETS ADVISORY, LLC	Aug 19, 2024	Mar 16, 2020	-1,617	Firm change after gap	Other
GLOBAL ASSETS ADVISORY, LLC	GREAT PLAINS ADVISORY SERVICES LLC	Apr 24, 2023	Jul 3, 2024	436	Firm change after gap	RIA to state RIA
VSR ADVISORY SERVICES	INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC	Nov 8, 2010	Jun 4, 2012	574	Firm change after gap	Other
FINTEGRA, LLC	VSR ADVISORY SERVICES	Jul 23, 2010	Aug 16, 2010	24	Firm change	Other

Relationships

Registered with (5)

→ GREAT PLAINS ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Jul 3, 2024 to presentfactForm ADV
→ INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 19, 2016 to Aug 19, 2024factForm ADV
→ GLOBAL ASSETS ADVISORY, LLCRegistered adviserregistration: previous registration
Mar 16, 2020 to Apr 24, 2023factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 16, 2010 to Nov 8, 2010factForm ADV
→ FINTEGRA, LLCRegistered adviserregistration: previous registration
Apr 22, 2003 to Jul 23, 2010factForm ADV

Dated events

Occurred
Aug 19, 2024
Advisor changed firm
Richard William Engen left International Assets Investment Management, Llc for Global Assets Advisory, Llc (registered 2020-03-16)
Form ADVobserved 5 days ago
Occurred
Apr 24, 2023
Advisor changed firm
Richard William Engen left Global Assets Advisory, Llc for Great Plains Advisory Services Llc (registered 2024-07-03)
Form ADVobserved 5 days ago