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• A•••••••

C••••• I••••••••• A••••••• L••BD affiliatedMaple Grove, Mn dual registrantIAPD 4291143

Feed of 09/15/2026

Also filed as Dingman Marie Stacy

At current firm

1 y

since Sep 5, 2025

In the industry

25 y

since Nov 10, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Maple Grove, Mn
A•••••• A••••••• S••••••• former
Aug 4, 2023 to Sep 5, 2025 · Sartell, Mn
H••••• M••• I••••••••• I••• no RAUM
May 11, 2023 to Aug 9, 2023 · St Cloud, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 7, 2016 to Apr 11, 2023 · St Cloud, Mn
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated
Jan 7, 2014 to Feb 11, 2016 · Sartell, Mn
L•• F•••••••• L•• BD affiliated
Nov 29, 2012 to Jan 10, 2013 · Plymouth, Mn

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
H••••• M••• I••••••••• I••• to A•••••• A••••••• S•••••••
left Aug 9, 2023, registered Aug 4, 2023 (-5 days) · Other
C••••• I••••••••• A••••••• L•• to H••••• M••• I••••••••• I•••
left Apr 11, 2023, registered May 11, 2023 (30 days) · Other
W••••• E••••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Feb 11, 2016, registered Sep 7, 2016 (209 days) · Other
L•• F•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Jan 10, 2013, registered Jan 7, 2014 (362 days) · Other

Signals

S•••• M• A••••••• left H••••• M••• I••••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-08-04)
Aug 9, 2023 · Advisor changed firm · fact
S•••• M• A••••••• left C••••• I••••••••• A••••••• L•• for H••••• M••• I••••••••• I••• (registered 2023-05-11)
Apr 11, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address