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•••• M•••••• L•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorthfield, Mndual registrantIAPD 309891

Feed of 09/14/2026

Also filed as Al L•••••

At current firm

2 y

since Feb 15, 2024

In the industry

45 y

since Jul 1, 1981 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Feb 15, 2024 · Northfield, Mn
S••••••••• A•••••• A•••••••• I••• former
Apr 30, 2018 to Feb 23, 2024 · Northfield, Mn
V••• F•••••••• A•••••••• I••• BD affiliated
Jun 30, 2017 to May 1, 2018 · Brooklyn Park, Mn

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 23, 2024, registered Feb 15, 2024 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left May 1, 2018, registered Apr 30, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

A•••• M•••••• L••••• left S••••••••• A•••••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-02-15)
Feb 23, 2024 · 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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address