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•••••• R••• H••••••

C••••• I••••••••• A••••••• L••BD affiliatedMorris, Mn dual registrantIAPD 4538364

Feed of 09/15/2026

At current firm

3 y

since Jun 29, 2023

In the industry

24 y

since Jul 3, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Jun 29, 2023 · Morris, Mn
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Jun 10, 2022 · Webster, Sd
I••••••••• C•••••• O• A••••••• I••• former
Oct 27, 2011 to Nov 29, 2017 · Bismarck, Nd
H• B•••• I••• former
Feb 26, 2011 to Oct 26, 2011 · Rockville, Md
Q•• F•••••••• L•• unclassified
Jul 11, 2008 to Feb 11, 2011 · Sioux Falls, Sd

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 10, 2022, registered Jun 29, 2023 (384 days) · RIA to affiliated broker-dealer or bank
I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••
left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
H• B•••• I••• to I••••••••• C•••••• O• A••••••• I•••
left Oct 26, 2011, registered Oct 27, 2011 (1 days) · Other
Q•• F•••••••• L•• to H• B•••• I•••
left Feb 11, 2011, registered Feb 26, 2011 (15 days) · Other

Signals

S•••••• R••• H•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Jun 10, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address