DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••••• S•••••• D•••
Feed of 09/14/2026
Also filed as Rick Dahl
At current firm
1 y
since May 15, 2025
In the industry
32 y
since Jul 6, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerJan 3, 2020 to May 15, 2025 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• formerJun 8, 2005 to May 15, 2025 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 11, 2005 to Jun 1, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••left May 15, 2025, registered Jan 3, 2020 (-1959 days) · channel change inside one enterprise, not a move
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••• P•••••• F••••••••• L••left Jun 1, 2005, registered Jun 8, 2005 (7 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address