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.
Feed of 09/14/2026
At current firm
8 y
since Sep 23, 2017
In the industry
35 y
since Mar 20, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Lis Inc state registered currentsince Sep 23, 2017 · Urbandale, Ia
- Ria Advisory Group, LLC independent RIAMar 20, 2014 to Oct 20, 2017 · Des Moines, Ia
- Northwest Wealth Management, LLC independent RIASep 24, 2010 to Mar 14, 2014 · Spencer, Ia
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to Sep 14, 2010 · West Des Moines, Ia
- Ameriprise Advisor Services, Inc. unclassifiedApr 19, 2007 to Oct 5, 2009 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- Ria Advisory Group, LLC to Lis Incleft Oct 20, 2017, registered Sep 23, 2017 (-27 days) · Other
- Northwest Wealth Management, LLC to Ria Advisory Group, LLCleft Mar 14, 2014, registered Mar 20, 2014 (6 days) · Other
- Ameriprise Financial Services, LLC to Northwest Wealth Management, LLCleft Sep 14, 2010, registered Sep 24, 2010 (10 days) · Other
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address