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••• D••••• M••••••

A••••••••• F•••••••• S•••••••• L••national BDCedar Falls, Ia dual registrantIAPD 2777238

Certified Financial Planner

Feed of 09/15/2026

Also filed as M••• D M••••••

At current firm

1 y

since Nov 8, 2024

In the industry

30 y

since Aug 12, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••••••• F•••••••• S•••••••• L•• national BD current
since Nov 8, 2024 · Cedar Falls, Ia
L•• W••••• M••••••••• independent RIA
Dec 6, 2021 to Nov 15, 2024 · Cedar Falls, Ia
L•• F•••••••• L•• BD affiliated
Dec 21, 2009 to Aug 11, 2022 · Fort Mill, Sc
C••••• A•••••• N••••••• L•• former
Sep 23, 2005 to Dec 18, 2009 · Orange City, Ia
L•• F•••••••• L•• BD affiliated
Jan 23, 2003 to Sep 23, 2005 · Parkersburg, Ia

Moves

a registration end followed by a registration begin elsewhere

L•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 15, 2024, registered Nov 8, 2024 (-7 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to L•• W••••• M•••••••••
left Aug 11, 2022, registered Dec 6, 2021 (-248 days) · RIA to RIA
C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
left Dec 18, 2009, registered Dec 21, 2009 (3 days) · Other
L•• F•••••••• L•• to C••••• A•••••• N••••••• L••
left Sep 23, 2005, registered Sep 23, 2005 (0 days) · Other

Signals

M••• D••••• M•••••• left L•• W••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-11-08)
Nov 15, 2024 · a•••••• firm change · fact
M••• D••••• M•••••• left L•• F•••••••• L•• for L•• W••••• M••••••••• (registered 2021-12-06)
Aug 11, 2022 · a•••••• firm change · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address