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

D••••• E••••• P••••••

C• W••••• M••••••••• L••independent RIASchaumburg, Il dual registrantIAPD 2677761

Feed of 09/14/2026

Also filed as Dna P••••••

At current firm

3 y

since Jan 5, 2023

In the industry

30 y

since Dec 15, 1995 (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

C• W••••• M••••••••• L•• independent RIA current
since Jan 5, 2023 · Eagan, Mn
S• A•••••••• L•• independent RIA
Jan 13, 2021 to Jan 4, 2023 · Edina, Mn
S• A•••••••• L•• independent RIA
Apr 26, 2017 to Dec 31, 2020 · Hastings, Mn
R•••••• J•••• • A••••••••• I••• national BD
Aug 24, 2015 to May 1, 2017 · Edina, Mn
R•• C•••••• M••••••• L•• national BD
Nov 14, 2008 to Sep 18, 2015 · Stillwater, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 22, 1997 to Nov 18, 2008 · St Paul, Mn

Moves

a registration end followed by a registration begin elsewhere

S• A•••••••• L•• to C• W••••• M••••••••• L••
left Jan 4, 2023, registered Jan 5, 2023 (1 days) · RIA to RIA · moved with a team
R•••••• J•••• • A••••••••• I••• to S• A•••••••• L••
left May 1, 2017, registered Apr 26, 2017 (-5 days) · Other
R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Sep 18, 2015, registered Aug 24, 2015 (-25 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Nov 18, 2008, registered Nov 14, 2008 (-4 days) · Wirehouse to affiliated broker-dealer or bank

Signals

D••••• E••••• P•••••• left S• A•••••••• L•• for C• W••••• M••••••••• L•• (registered 2023-01-05)
Jan 4, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address