DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••• N••• L••••••
Feed of 09/15/2026
At current firm
0 y
since Jan 27, 2026
In the industry
25 y
since Sep 20, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jan 27, 2026 · Roseville, Mn
- I•••••••• F•••••••• G•••• formerJan 16, 2014 to Jul 25, 2022 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- I•••••••• F•••••••• G•••• to P•••••• A•••••• G••••• L••left Jul 25, 2022, registered Jan 27, 2026 (1282 days) · RIA to affiliated broker-dealer or bank · moved with a team
Signals
- A••• N••• L•••••• left I•••••••• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2026-01-27)Jul 25, 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
- 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