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

C••• D•••• B••••••

B••••• P••••• A•••••••• L••independent RIALake Elmo, Mn IA-onlyIAPD 4423100

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

1 y

since Oct 24, 2024

In the industry

25 y

since Aug 23, 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

B••••• P••••• A•••••••• L•• independent RIA current
since Oct 24, 2024 · Lake Elmo, Mn
L••••••• W••••• M••••••••• G•••• former
Aug 1, 2022 to Nov 14, 2024 · Lake Elmo, Mn
T••••••• A•••••• N••••••• L•• BD affiliated
Dec 18, 2020 to Aug 15, 2022 · Woodbury, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
May 1, 2006 to Feb 3, 2021 · Woodbury, Mn

Moves

a registration end followed by a registration begin elsewhere

L••••••• W••••• M••••••••• G•••• to B••••• P••••• A•••••••• L••
left Nov 14, 2024, registered Oct 24, 2024 (-21 days) · RIA to RIA · moved with a team
T••••••• A•••••• N••••••• L•• to L••••••• W••••• M••••••••• G••••
left Aug 15, 2022, registered Aug 1, 2022 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
T••••••• I••••••••• M••••••••• I••• to T••••••• A•••••• N••••••• L••
left Feb 3, 2021, registered Dec 18, 2020 (-47 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

C••• D•••• B•••••• left L••••••• W••••• M••••••••• G•••• for B••••• P••••• A•••••••• L•• (registered 2024-10-24)
Nov 14, 2024 · a•••••• firm change · fact
C••• D•••• B•••••• left T••••••• A•••••• N••••••• L•• for L••••••• W••••• M••••••••• G•••• (registered 2022-08-01)
Aug 15, 2022 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address