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

R•••••• W•••••• E••••

G•••• P••••• A••••••• S••••••• L••state registeredFargo, Nddual registrantIAPD 2528314

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Rick E••••

At current firm

2 y

since Jul 3, 2024

In the industry

31 y

since Sep 29, 1994 (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

G•••• P••••• A••••••• S••••••• L•• state registered current
since Jul 3, 2024 · Fargo, Nd
G••••• A••••• A•••••••• L•• independent RIA
Mar 16, 2020 to Apr 24, 2023 · Fargo, Nd
I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated
Jan 19, 2016 to Aug 19, 2024 · Fargo, Nd
I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated
Jun 4, 2012 to Dec 31, 2015 · Orlando, Fl
V•• A••••••• S••••••• former
Aug 16, 2010 to Nov 8, 2010 · Overland Park, Ks
F•••••••• L•• former
Apr 22, 2003 to Jul 23, 2010 · Fargo, Nd

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A••••• I••••••••• M••••••••• L•• to G••••• A••••• A•••••••• L••
left Aug 19, 2024, registered Mar 16, 2020 (-1617 days) · Other
G••••• A••••• A•••••••• L•• to G•••• P••••• A••••••• S••••••• L••
left Apr 24, 2023, registered Jul 3, 2024 (436 days) · RIA to a state-registered adviser
V•• A••••••• S••••••• to I••••••••• A••••• I••••••••• M••••••••• L••
left Nov 8, 2010, registered Jun 4, 2012 (574 days) · Other
F•••••••• L•• to V•• A••••••• S•••••••
left Jul 23, 2010, registered Aug 16, 2010 (24 days) · Other

Signals

R•••••• W•••••• E•••• left I••••••••• A••••• I••••••••• M••••••••• L•• for G••••• A••••• A•••••••• L•• (registered 2020-03-16)
Aug 19, 2024 · Advisor changed firm · fact
R•••••• W•••••• E•••• left G••••• A••••• A•••••••• L•• for G•••• P••••• A••••••• S••••••• L•• (registered 2024-07-03)
Apr 24, 2023 · 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: STATE REGISTEREDderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address