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

S•••• M•••• M•••••

C••••••••• F•••••••• N••••••national BDNew Brighton, Mndual registrantIAPD 4220360

Feed of 09/14/2026

Also filed as S•••• M•••• Henk

At current firm

1 y

since Jan 6, 2025

In the industry

24 y

since Nov 17, 2001 (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

C••••••••• F•••••••• N•••••• national BD current
since Jan 6, 2025 · New Brighton, Mn
L•• F•••••••• L•• BD affiliated
Jan 30, 2024 to Oct 24, 2024 · Maple Grove, Mn
F•••••••• D••••••••• G••••• I••• former
Feb 18, 2015 to Feb 5, 2024 · Maple Grove, Mn
A•••••• A••••••• S••••••• former
Feb 19, 2014 to Dec 31, 2014 · Forest Lake, Mn

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Oct 24, 2024, registered Jan 6, 2025 (74 days) · Affiliated broker-dealer or bank to another
F•••••••• D••••••••• G••••• I••• to L•• F•••••••• L••
left Feb 5, 2024, registered Jan 30, 2024 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
A•••••• A••••••• S••••••• to F•••••••• D••••••••• G••••• I•••
left Dec 31, 2014, registered Feb 18, 2015 (49 days) · Other

Signals

S•••• M•••• M••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-01-06)
Oct 24, 2024 · Advisor changed firm · fact
S•••• M•••• M••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
Feb 5, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address