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

P•••• R•• H••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedDeerwood, Mn dual registrantIAPD 2082315

Feed of 09/15/2026

Also filed as Penny Rae Karppinen

At current firm

2 y

since Nov 6, 2023

In the industry

28 y

since May 6, 1998 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Nov 6, 2023 · Deerwood, Mn
R•••••• J•••• • A••••••••• I••• national BD
Jun 29, 2022 to May 24, 2023 · Weslaco, Tx
U•• F•••••••• S••••••• I••• wirehouse
Feb 4, 2014 to Jun 27, 2022 · Bloomington, Mn
W•••• F•••• I••••••••• L•• unclassified
May 4, 2005 to May 9, 2006 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 24, 2023, registered Nov 6, 2023 (166 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jun 27, 2022, registered Jun 29, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to U•• F•••••••• S••••••• I•••
left May 9, 2006, registered Feb 4, 2014 (2828 days) · Other

Signals

P•••• R•• H•••••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-11-06)
May 24, 2023 · Advisor changed firm · fact
P•••• R•• H•••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2022-06-29)
Jun 27, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address