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

A••• S• S••••••••

J••• M••••• S••••••••• L••wirehouseBrookfield, Widual registrantIAPD 2644643

Feed of 09/14/2026

Also filed as A••• S• S••••••••

At current firm

13 y

since Mar 13, 2013

In the industry

23 y

since Dec 19, 2002 (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

J••• M••••• S••••••••• L•• wirehouse current
since Mar 13, 2013 · Brookfield, Wi
U••• B•••••• I••••••••• I••• former
Mar 2, 2010 to Mar 11, 2013 · Elkhorn, Wi
M•• F•••••••• A•••••••• I••• former
Jan 6, 2006 to Mar 29, 2010 · Brookfield, Wi
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Jan 4, 2006 · Brookfield, Wi
B••• O•• S••••••••• C••••••••• unclassified
Jun 15, 2005 to Jul 6, 2005 · Brookfield, Wi

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••
left Mar 11, 2013, registered Mar 13, 2013 (2 days) · Other
M•• F•••••••• A•••••••• I••• to U••• B•••••• I••••••••• I•••
left Mar 29, 2010, registered Mar 2, 2010 (-27 days) · Other
C•••• I••••••••• S••••••• C•••• to M•• F•••••••• A•••••••• I•••
left Jan 4, 2006, registered Jan 6, 2006 (2 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address