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

M••••••• A•••• S•••••

A••••••••• I••••••••• S•••••••• I•••independent RIAMadison, Wi dual registrantIAPD 2443218

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••••••• A••••

At current firm

1 y

since Mar 18, 2025

In the industry

32 y

since Feb 14, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

A••••••••• I••••••••• S•••••••• I••• independent RIA current
since Mar 18, 2025 · Madison, Wi
U••• B•••••• I••••••••• I••• former
Nov 30, 2020 to Nov 13, 2024 · Madison, Wi
A••••• A•• P••••••• S••••••• BD affiliated
Jun 20, 2014 to Nov 13, 2020 · Middleton, Wi
W•• F•••••••• A•••••••• I••• other
Nov 9, 2007 to Jun 16, 2014 · Madison, Wi

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to A••••••••• I••••••••• S•••••••• I•••
left Nov 13, 2024, registered Mar 18, 2025 (125 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to U••• B•••••• I••••••••• I•••
left Nov 13, 2020, registered Nov 30, 2020 (17 days) · Affiliated broker-dealer or bank to another · moved with a team
W•• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••
left Jun 16, 2014, registered Jun 20, 2014 (4 days) · Other

Signals

M••••••• A•••• S••••• left U••• B•••••• I••••••••• I••• for A••••••••• I••••••••• S•••••••• I••• (registered 2025-03-18)
Nov 13, 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address