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

D•••• R••••• N•••••

I•••••••• A•••••••• L••BD affiliatedOmaha, Ne dual registrantIAPD 1019344

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

0 y

since Jan 1, 2026

In the industry

45 y

since Mar 1, 1981 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•••••••• A•••••••• L•• BD affiliated current
since Jan 1, 2026 · Austin, Tx
L••• S••••• A•••••••• L•• former
Feb 2, 2023 to Nov 3, 2025 · Omaha, Ne
N••••• B••••••• A••••••• unclassified
Apr 3, 2015 to Dec 6, 2019 · Omaha, Ne
V•••••• A•••••••• I••• BD affiliated
Apr 29, 2013 to Dec 15, 2014 · Omaha, Ne
P••••••••• A••••••• G•••• unclassified
Aug 30, 2007 to Apr 24, 2013 · Omaha, Ne
N••••••••• I••••••••• M••••••••• I••• independent RIA
Oct 15, 2001 to Jul 2, 2007 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••
left Nov 3, 2025, registered Jan 1, 2026 (59 days) · corporate re-registration, not a move
N••••• B••••••• A••••••• to L••• S••••• A•••••••• L••
left Dec 6, 2019, registered Feb 2, 2023 (1154 days) · Other
V•••••• A•••••••• I••• to N••••• B••••••• A•••••••
left Dec 15, 2014, registered Apr 3, 2015 (109 days) · Other
P••••••••• A••••••• G•••• to V•••••• A•••••••• I•••
left Apr 24, 2013, registered Apr 29, 2013 (5 days) · Other
N••••••••• I••••••••• M••••••••• I••• to P••••••••• A••••••• G••••
left Jul 2, 2007, registered Aug 30, 2007 (59 days) · Other

Signals

No dated event on this person.

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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address