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

C•••• A•• G••••••

O•••••• C••••••• I•••independent RIAMaple Grove, Mn dual registrantIAPD 1528051

Feed of 09/14/2026

At current firm

0 y

since Apr 14, 2026

In the industry

26 y

since Dec 30, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••••• C••••••• I••• independent RIA current
since Apr 14, 2026 · St. Louis Park, Mn
T•• A•••••••• I••• BD affiliated
Jun 28, 2024 to Apr 27, 2026 · Towson, Md
R•• C•••••• M••••••• L•• national BD
Apr 16, 2018 to Jan 25, 2024 · Minneapolis, Mn
U••• B•••••• I••••••••• I••• former
Oct 4, 2010 to Jan 19, 2017 · Minneapolis, Mn
U•• F•••••••• S••••••• I••• wirehouse
Jun 5, 2007 to Apr 6, 2010 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• I••• to O•••••• C••••••• I•••
left Apr 27, 2026, registered Apr 14, 2026 (-13 days) · Affiliated broker-dealer or bank to independent RIA
R•• C•••••• M••••••• L•• to T•• A•••••••• I•••
left Jan 25, 2024, registered Jun 28, 2024 (155 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••
left Jan 19, 2017, registered Apr 16, 2018 (452 days) · Other
U•• F•••••••• S••••••• I••• to U••• B•••••• I••••••••• I•••
left Apr 6, 2010, registered Oct 4, 2010 (181 days) · Other

Signals

C•••• A•• G•••••• left T•• A•••••••• I••• for O•••••• C••••••• I••• (registered 2026-04-14)
Apr 27, 2026 · Advisor changed firm · fact
C•••• A•• G•••••• left R•• C•••••• M••••••• L•• for T•• A•••••••• I••• (registered 2024-06-28)
Jan 25, 2024 · 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address