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

D••••• R•••••• S•••••••

I•••••••• A•••••••• L••BD affiliatedPewaukee, Wi dual registrantIAPD 3106269

Feed of 09/15/2026

Also filed as D••••• R S•••••••

At current firm

0 y

since Feb 19, 2026

In the industry

27 y

since Oct 14, 1998 (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

I•••••••• A•••••••• L•• BD affiliated current
since Feb 19, 2026 · Urbandale, Ia
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Dec 31, 2024 · Oak Creek, Wi
W••••••• F•••••••• S•••••••• I••• former
May 9, 2019 to Jan 19, 2024 · Naples, Fl
C••••• A•••••• N••••••• L•• former
Apr 2, 2013 to May 17, 2019 · Madison, Wi
C••••••••• C•••••• S••••••••• I••• independent RIA
Jul 23, 1999 to Apr 2, 2013 · Oak Creek, Wi

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to I•••••••• A•••••••• L••
left Dec 31, 2024, registered Feb 19, 2026 (415 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
C••••• A•••••• N••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left May 17, 2019, registered May 9, 2019 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••••• C•••••• S••••••••• I••• to C••••• A•••••• N••••••• L••
left Apr 2, 2013, registered Apr 2, 2013 (0 days) · Other

Signals

D••••• R•••••• S••••••• left O•••• W•••••• I••• for I•••••••• A•••••••• L•• (registered 2026-02-19)
Dec 31, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address