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••••• J•••• T••••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Paul, Mn dual registrantIAPD 2927934

Feed of 09/14/2026

Also filed as A••••• T••••••

At current firm

0 y

since Feb 13, 2026

In the industry

29 y

since Jun 1, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Las Vegas, Nv
U••• B•••••• I••••••••• I••• former
Apr 19, 2022 to Feb 13, 2026 · Saint Paul, Mn
F•••• independent RIA
Apr 27, 2021 to May 25, 2021 · Las Vegas, Nv
A••••• A•• P••••••• S••••••• BD affiliated
Sep 14, 2017 to Nov 13, 2020 · Las Vegas, Nv
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 16, 1997 to Nov 14, 2016 · Henderson, Nv

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
F•••• to U••• B•••••• I••••••••• I•••
left May 25, 2021, registered Apr 19, 2022 (329 days) · RIA to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to F••••
left Nov 13, 2020, registered Apr 27, 2021 (165 days) · Affiliated broker-dealer or bank to independent RIA
A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••
left Nov 14, 2016, registered Sep 14, 2017 (304 days) · Other

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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address