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

R•••••• F••••••• D•••

C••••• I••••••••• A••••••• L••BD affiliatedSaint Paul, Mndual registrantIAPD 4504691

Certified Financial Planner

Feed of 09/14/2026

Also filed as R•••••• F••••••• D•••

At current firm

1 y

since Sep 5, 2025

In the industry

17 y

since Apr 10, 2009 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Saint Paul, Mn
A•••••• A••••••• S••••••• former
Oct 24, 2024 to Sep 5, 2025 · Dallas, Tx
O•••• W•••••• I••• BD affiliated
Feb 6, 2020 to Oct 29, 2024 · Saint Paul, Mn
A••••••••• W••••• P••••••• independent RIA
Nov 19, 2013 to Feb 7, 2020 · Minnetonka, Mn
R••••••• C••••• A••••••• S••••••• former
Mar 9, 2011 to Jul 24, 2012 · St. Paul, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Mar 14, 2011 · Edina, Mn
A••••••••• A•••••• S•••••••• I••• unclassified
Apr 21, 2009 to Oct 5, 2009 · Lake Elmo, 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
O•••• W•••••• I••• to A•••••• A••••••• S•••••••
left Oct 29, 2024, registered Oct 24, 2024 (-5 days) · Affiliated broker-dealer or bank to another
A••••••••• W••••• P••••••• to O•••• W•••••• I•••
left Feb 7, 2020, registered Feb 6, 2020 (-1 days) · RIA to affiliated broker-dealer or bank
R••••••• C••••• A••••••• S••••••• to A••••••••• W••••• P•••••••
left Jul 24, 2012, registered Nov 19, 2013 (483 days) · Other
A••••••••• F•••••••• S•••••••• L•• to R••••••• C••••• A••••••• S•••••••
left Mar 14, 2011, registered Mar 9, 2011 (-5 days) · Other
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move

Signals

R•••••• F••••••• D••• left O•••• W•••••• I••• for A•••••• A••••••• S••••••• (registered 2024-10-24)
Oct 29, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address