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

A•• M•••• D•••••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 1083322

Feed of 09/15/2026

Also filed as Ann Marie Doty

At current firm

0 y

since Jun 8, 2026

In the industry

33 y

since Jul 12, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

A••••••• S•••••••• G•••• independent RIA current
since Jun 8, 2026 · Plymouth, Mn
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jun 8, 2026 · Plymouth, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Dec 5, 2025 · El Segundo, Ca
C••••• A•••••• N••••••• L•• former
Jun 7, 2013 to Jun 29, 2023 · El Segundo, Ca
C••••••• W••••• • C•• former
Jul 13, 2011 to Jul 24, 2012 · Newport Beach, Ca
R•• C•••••• M••••••• L•• national BD
Jan 14, 2010 to Feb 3, 2011 · Beverly Hills, Ca
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Jan 6, 2010 · Beverly Hills, Ca
A• G• E•••••• • S•••• I••• unclassified
Oct 3, 2002 to Jan 1, 2008 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Dec 5, 2025, registered Jun 8, 2026 (185 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
C••••••• W••••• • C•• to C••••• A•••••• N••••••• L••
left Jul 24, 2012, registered Jun 7, 2013 (318 days) · Other
R•• C•••••• M••••••• L•• to C••••••• W••••• • C••
left Feb 3, 2011, registered Jul 13, 2011 (160 days) · Other
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Jan 6, 2010, registered Jan 14, 2010 (8 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

A•• M•••• D••••••••• left C••••• I••••••••• A••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-06-08)
Dec 5, 2025 · a•••••• firm change · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address