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•••• S••••• L•••

L•• F•••••••• L••BD affiliatedMaple Grove, Mndual registrantIAPD 2131012

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jun 4, 2024

In the industry

35 y

since Jun 28, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 4, 2024 · Maple Grove, Mn
A•••• P•••• A••••••• former
Jul 23, 2021 to Jun 6, 2024 · Maple Grove, Mn
S••••••••• A•••••• A•••••••• I••• former
Nov 9, 2018 to Jan 31, 2022 · Maple Grove, Mn
Q•••••• A•••• M••••••••• I••• former
Dec 5, 2013 to Nov 15, 2018 · Minneapolis, Mn
U•••••••• S••••••••• I••• unclassified
Jan 2, 2004 to May 22, 2006 · Brainerd, Mn
S••••••••• S••••••••• I••• unclassified
Jul 14, 2003 to Dec 31, 2003 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

A•••• P•••• A••••••• to L•• F•••••••• L••
left Jun 6, 2024, registered Jun 4, 2024 (-2 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••
left Jan 31, 2022, registered Jul 23, 2021 (-192 days) · channel change inside one enterprise, not a move
Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Nov 15, 2018, registered Nov 9, 2018 (-6 days) · Affiliated broker-dealer or bank to another
U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••
left May 22, 2006, registered Dec 5, 2013 (2754 days) · Other
S••••••••• S••••••••• I••• to U•••••••• S••••••••• I•••
left Dec 31, 2003, registered Jan 2, 2004 (2 days) · Other

Signals

P•••• S••••• L••• left A•••• P•••• A••••••• for L•• F•••••••• L•• (registered 2024-06-04)
Jun 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address