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

S••• A•••• M••••••

P••••••••• C•••••• A•••••••independent RIAGolden Valley, Mn IA-onlyIAPD 2806843

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

At current firm

2 y

since Dec 26, 2023

In the industry

19 y

since May 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••••••••• C•••••• A••••••• independent RIA current
since Dec 26, 2023 · Golden Valley, Mn
C•••••• W••••• A••••••• independent RIA
Jan 21, 2022 to Jan 2, 2024 · San Diego, Ca
P•••••• C••••• S•••••••• L•• BD affiliated
Jul 3, 2019 to Jan 24, 2022 · St. Louis Park, Mn
A••••••• F•••••••• L•• independent RIA
Jan 23, 2014 to Jan 24, 2022 · St. Louis Park, Mn
C••••• A•••••• N••••••• L•• former
Jan 8, 2014 to May 16, 2017 · St Louis Park, Mn

Moves

a registration end followed by a registration begin elsewhere

C•••••• W••••• A••••••• to P••••••••• C•••••• A•••••••
left Jan 2, 2024, registered Dec 26, 2023 (-7 days) · RIA to RIA
A••••••• F•••••••• L•• to P•••••• C••••• S•••••••• L••
left Jan 24, 2022, registered Jul 3, 2019 (-936 days) · RIA to RIA
P•••••• C••••• S•••••••• L•• to C•••••• W••••• A•••••••
left Jan 24, 2022, registered Jan 21, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A•••••• N••••••• L•• to A••••••• F•••••••• L••
left May 16, 2017, registered Jan 23, 2014 (-1209 days) · Other · moved with a team

Signals

S••• A•••• M•••••• left C•••••• W••••• A••••••• for P••••••••• C•••••• A••••••• (registered 2023-12-26)
Jan 2, 2024 · a•••••• firm change · fact
S••• A•••• M•••••• left P•••••• C••••• S•••••••• L•• for C•••••• W••••• A••••••• (registered 2022-01-21)
Jan 24, 2022 · a•••••• firm change · fact
S••• A•••• M•••••• left A••••••• F•••••••• L•• for P•••••• C••••• S•••••••• L•• (registered 2019-07-03)
Jan 24, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address