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

P••• R•••••• M••••

A•••• C•••••• C••••BD affiliatedNew York, Ny IA-onlyIAPD 3062534

Feed of 09/15/2026

At current firm

0 y

since Feb 18, 2026

In the industry

28 y

since Jul 13, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•••• C•••••• C•••• BD affiliated current
since Feb 18, 2026 · Edina, Mn
R•• C•••••• M••••••• L•• national BD
Oct 11, 2017 to Jan 26, 2026 · Minnetonka, Mn
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 13, 2017 · Minneapolis, Mn
M••••• S•••••• • C•• L•• unclassified
Aug 11, 2008 to Jun 1, 2009 · Minneapolis, Mn
R•• C•••••• M••••••• L•• national BD
Apr 14, 2005 to Aug 25, 2008 · Minnetonka, Mn

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to A•••• C•••••• C••••
left Jan 26, 2026, registered Feb 18, 2026 (23 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•• C•••••• M••••••• L••
left Oct 13, 2017, registered Oct 11, 2017 (-2 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
R•• C•••••• M••••••• L•• to M••••• S•••••• • C•• L••
left Aug 25, 2008, registered Aug 11, 2008 (-14 days) · Other

Signals

P••• R•••••• M•••• left R•• C•••••• M••••••• L•• for A•••• C•••••• C•••• (registered 2026-02-18)
Jan 26, 2026 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address