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•••• W•••••• Y••••••

L•• F•••••••• L••BD affiliatedFaribault, Mn dual registrantIAPD 2302015

Feed of 09/15/2026

Also filed as S•••• W•••••• Y••••••

At current firm

1 y

since Aug 25, 2025

In the industry

30 y

since May 6, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Aug 25, 2025 · Faribault, Mn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Dec 26, 2024 to Jun 16, 2025 · Minnetonka, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jun 10, 2022 to Dec 19, 2023 · Minneapolis, Mn
C••••• A•••••• N••••••• L•• former
Aug 25, 2021 to Apr 20, 2022 · Minnetonka, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 7, 2017 to Jun 11, 2021 · Minneapolis, Mn
S••••••• F•••••••• S•••••••• I••• former
Aug 28, 2014 to Oct 6, 2017 · St Paul, Mn
R•• C•••••• M••••••• L•• national BD
Nov 18, 2002 to Dec 24, 2013 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••
left Jun 16, 2025, registered Aug 25, 2025 (70 days) · Other
T••••••• I••••••••• M••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left Dec 19, 2023, registered Dec 26, 2024 (373 days) · Other
C••••• A•••••• N••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Apr 20, 2022, registered Jun 10, 2022 (51 days) · Affiliated broker-dealer or bank to another
T••••••• I••••••••• M••••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 11, 2021, registered Aug 25, 2021 (75 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••
left Oct 6, 2017, registered Nov 7, 2017 (32 days) · Other
R•• C•••••• M••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Dec 24, 2013, registered Aug 28, 2014 (247 days) · Other

Signals

S•••• W•••••• Y•••••• left N••••••••• M••••• I••••••••• S••••••••• for L•• F•••••••• L•• (registered 2025-08-25)
Jun 16, 2025 · a•••••• firm change · fact
S•••• W•••••• Y•••••• left T••••••• I••••••••• M••••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-12-26)
Dec 19, 2023 · a•••••• firm change · fact
S•••• W•••••• Y•••••• left C••••• A•••••• N••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2022-06-10)
Apr 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address