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

M•••• M•••• D••

A••••••••• F•••••••• S•••••••• L••national BDWest Des Moines, Ia dual registrantIAPD 3148994

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as M•••• M•••• D••

At current firm

1 y

since Jan 10, 2025

In the industry

27 y

since Jan 21, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jan 10, 2025 · Clive, Ia
M••••• S•••••• wirehouse
Jun 3, 2021 to Sep 25, 2024 · West Des Moines, Ia
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 23, 2020 to May 21, 2021 · West Des Moines, Ia
C••••••••• W••••• A•••••••• L•• former
Jul 31, 2008 to Oct 13, 2008 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 25, 2024, registered Jan 10, 2025 (107 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left May 21, 2021, registered Jun 3, 2021 (13 days) · Affiliated broker-dealer or bank to wirehouse
C••••••••• W••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 13, 2008, registered Apr 23, 2020 (4210 days) · Other

Signals

M•••• M•••• D•• left M••••• S•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-01-10)
Sep 25, 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address