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.
Feed of 09/15/2026
Also filed as Mary Sauser
At current firm
3 y
since Aug 8, 2023
In the industry
27 y
since Dec 29, 1998 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Atlatl Advisers independent RIA currentsince Aug 8, 2023 · Madison, Wi
- Independent Financial Partners BD affiliatedAug 16, 2019 to Jul 31, 2023 · Dubuque, Ia
- Williams Group, LLC formerJun 2, 2017 to Nov 1, 2019 · Dubuque, Ia
- Kestra Advisory Services, LLC BD affiliatedApr 28, 2016 to Mar 28, 2017 · Naperville, Il
- Nfp Advisor Services, LLC formerAug 28, 2014 to May 11, 2016 · Naperville, Il
- Trademark Capital Management Inc formerMar 14, 2012 to Jun 10, 2014 · Dubuque, Ia
- Steele Capital Management, Inc. independent RIAMay 12, 2001 to Feb 10, 2012 · Dubuque, Ia
- Steele Capital Management, Inc. independent RIAMay 12, 2001 to Dec 31, 2002 · Dubuque, Ia
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to Atlatl Advisersleft Jul 31, 2023, registered Aug 8, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA
- Williams Group, LLC to Independent Financial Partnersleft Nov 1, 2019, registered Aug 16, 2019 (-77 days) · Other
- Kestra Advisory Services, LLC to Williams Group, LLCleft Mar 28, 2017, registered Jun 2, 2017 (66 days) · Other
- Nfp Advisor Services, LLC to Kestra Advisory Services, LLCleft May 11, 2016, registered Apr 28, 2016 (-13 days) · Other · moved with a team
- Trademark Capital Management Inc to Nfp Advisor Services, LLCleft Jun 10, 2014, registered Aug 28, 2014 (79 days) · Other
- Steele Capital Management, Inc. to Trademark Capital Management Incleft Feb 10, 2012, registered Mar 14, 2012 (33 days) · Other
Signals
- Mary Lynne Patch left Independent Financial Partners for Atlatl Advisers (registered 2023-08-08)Jul 31, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address