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•••• L•• P••••••

M••••••BD affiliatedFargo, NdIA-onlyIAPD 4342237

Feed of 09/14/2026

At current firm

1 y

since Nov 19, 2024

In the industry

25 y

since Apr 4, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Nov 19, 2024 · Fargo, Nd
S•••••• F•••••••• G••••• L••••• independent RIA
Sep 16, 2024 to Dec 5, 2024 · Fargo, Nd
E••• B••••• A•••••••• L•• former
Jan 29, 2007 to Nov 15, 2024 · Fargo, Nd
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 5, 2005 to Jan 3, 2007 · Fargo, Nd
R•• C•••••• M••••••• L•• national BD
Jun 11, 2001 to Apr 12, 2005 · Fargo, Nd

Moves

a registration end followed by a registration begin elsewhere

S•••••• F•••••••• G••••• L••••• to M••••••
left Dec 5, 2024, registered Nov 19, 2024 (-16 days) · RIA to affiliated broker-dealer or bank
E••• B••••• A•••••••• L•• to S•••••• F•••••••• G••••• L•••••
left Nov 15, 2024, registered Sep 16, 2024 (-60 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••• B••••• A•••••••• L••
left Jan 3, 2007, registered Jan 29, 2007 (26 days) · Other
R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 12, 2005, registered Apr 5, 2005 (-7 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D•••• L•• P•••••• left S•••••• F•••••••• G••••• L••••• for Mariner (registered 2024-11-19)
Dec 5, 2024 · Advisor changed firm · fact
D•••• L•• P•••••• left E••• B••••• A•••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2024-09-16)
Nov 15, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address