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.

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Registered advisor

S•••• C••••

C••••• I••••••••• A••••••• L••BD affiliatedSt Paul, Mndual registrantIAPD 1177799

Feed of 09/14/2026

Also filed as Susan Kay Plennert

At current firm

3 y

since Aug 10, 2023

In the industry

26 y

since Aug 14, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 10, 2023 · St Paul, Mn
S••••••• F•••••••• S•••••••• I••• former
Feb 27, 2023 to Aug 10, 2023 · St Paul, Mn
W••••••• F•••••••• S•••••••• I••• former
Feb 8, 2022 to Jan 3, 2023 · Oakdale, Mn
E•••••••• A•••••••• L•• national BD
Jul 7, 2017 to Feb 1, 2022 · Minneapolis, Mn
V••• F•••••••• A•••••••• I••• BD affiliated
Nov 20, 2014 to Oct 2, 2015 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Jan 3, 2023, registered Feb 27, 2023 (55 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Feb 1, 2022, registered Feb 8, 2022 (7 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••
left Oct 2, 2015, registered Jul 7, 2017 (644 days) · Other

Signals

S•••• C•••• left W••••••• F•••••••• S•••••••• I••• for S••••••• F•••••••• S•••••••• I••• (registered 2023-02-27)
Jan 3, 2023 · Advisor changed firm · fact
S•••• C•••• left E•••••••• A•••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2022-02-08)
Feb 1, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address