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••• A•••• M•••••••

A••••••••• F•••••••• S•••••••• L••national BDMinneapolis, Mn dual registrantIAPD 1978820

Feed of 09/14/2026

At current firm

4 y

since Jul 7, 2022

In the industry

37 y

since Aug 31, 1989 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jul 7, 2022 · Minneapolis, Mn
A••••••••• W••••• P••••••• independent RIA
Nov 10, 2021 to Apr 5, 2022 · Minnetonka, Mn
C••••• A•••••• N••••••• L•• former
Oct 27, 2021 to Apr 12, 2022 · Minnetonka, Mn

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••
left Apr 12, 2022, registered Nov 10, 2021 (-153 days) · Affiliated broker-dealer or bank to independent RIA
A••••••••• W••••• P••••••• to A••••••••• F•••••••• S•••••••• L••
left Apr 5, 2022, registered Jul 7, 2022 (93 days) · RIA to affiliated broker-dealer or bank

Signals

D••• A•••• M••••••• left C••••• A•••••• N••••••• L•• for A••••••••• W••••• P••••••• (registered 2021-11-10)
Apr 12, 2022 · a•••••• firm change · fact
D••• A•••• M••••••• left A••••••••• W••••• P••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-07-07)
Apr 5, 2022 · 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: National broker-dealer RIAderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address