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

J••••••• P••• A•••

C••••••••• F•••••••• N••••••national BDWest Fargo, Nddual registrantIAPD 2591356

Feed of 09/14/2026

At current firm

2 y

since Nov 15, 2023

In the industry

31 y

since Feb 23, 1995 (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

C••••••••• F•••••••• N•••••• national BD current
since Nov 15, 2023 · West Fargo, Nd
W•••• F•••• A••••••• wirehouse
Dec 9, 2013 to Nov 15, 2023 · West F••••, Nd
R•• C•••••• M••••••• L•• national BD
May 10, 2006 to Dec 19, 2013 · F••••, Nd
C••••• I••••••••• S••••••• L•• former
Jul 22, 2002 to Apr 28, 2006 · F••••, Nd
W•••• F•••• I••••••••• L•• unclassified
Sep 10, 2001 to Jul 3, 2002 · Moorhead, Mn

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••
left Nov 15, 2023, registered Nov 15, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Dec 19, 2013, registered Dec 9, 2013 (-10 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• S••••••• L•• to R•• C•••••• M••••••• L••
left Apr 28, 2006, registered May 10, 2006 (12 days) · Other
W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••
left Jul 3, 2002, registered Jul 22, 2002 (19 days) · Other

Signals

J••••••• P••• A••• left W•••• F•••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2023-11-15)
Nov 15, 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: National broker-dealer RIAderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address