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

S••• P•••••• F••••

L•• F•••••••• L••BD affiliatedGrafton, Widual registrantIAPD 2224753

Feed of 09/14/2026

At current firm

0 y

since Apr 16, 2026

In the industry

34 y

since Jun 17, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, 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 Apr 16, 2026 · Grafton, Wi
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 23, 2017 to Apr 27, 2026 · Grafton, Wi
I••••••••• C•••••• O• A••••••• I••• former
Jun 12, 2009 to Oct 23, 2017 · Richfield, Wi
O• I••••••••• M••••••••• C• BD affiliated
Apr 21, 2006 to Jun 15, 2009 · Grafton, Wi
E•••• O•• I••••••••• L•• unclassified
Oct 2, 2002 to Oct 2, 2002 · Grafton, Wi

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left Apr 27, 2026, registered Apr 16, 2026 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
I••••••••• C•••••• O• A••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 23, 2017, registered Oct 23, 2017 (0 days) · Other · moved with a team
O• I••••••••• M••••••••• C• to I••••••••• C•••••• O• A••••••• I•••
left Jun 15, 2009, registered Jun 12, 2009 (-3 days) · Other
E•••• O•• I••••••••• L•• to O• I••••••••• M••••••••• C•
left Oct 2, 2002, registered Apr 21, 2006 (1297 days) · Other

Signals

S••• P•••••• F•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2026-04-16)
Apr 27, 2026 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address