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

E••• W••••• B•••••••

U••• B•••••• A•••••••• L••BD affiliatedPrior Lake, Mndual registrantIAPD 3213492

Feed of 09/14/2026

Also filed as E••• B•••••••

At current firm

0 y

since May 21, 2026

In the industry

22 y

since Jun 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since May 21, 2026 · Prior Lake, Mn
L•• F•••••••• L•• BD affiliated
Oct 21, 2024 to Nov 17, 2025 · Eden Prairie, Mn
W•••• F•••• A••••••• wirehouse
Dec 6, 2022 to Oct 22, 2024 · Minneapolis, Mn
V••• F•••••••• A•••••••• I••• BD affiliated
Nov 9, 2017 to Nov 20, 2019 · Bloomington, Mn

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to U••• B•••••• A•••••••• L••
left Nov 17, 2025, registered May 21, 2026 (185 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to L•• F•••••••• L••
left Oct 22, 2024, registered Oct 21, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••
left Nov 20, 2019, registered Dec 6, 2022 (1112 days) · Affiliated broker-dealer or bank to wirehouse

Signals

E••• W••••• B••••••• left L•• F•••••••• L•• for U••• B•••••• A•••••••• L•• (registered 2026-05-21)
Nov 17, 2025 · Advisor changed firm · fact
E••• W••••• B••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-10-21)
Oct 22, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address