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

B•••• L••• S••••

P•••••••• S••••••••• I•••BD affiliatedWest Des Moines, Iadual registrantIAPD 4563048

Feed of 09/14/2026

Also filed as B•••• L••• S••••

At current firm

4 y

since Aug 24, 2022

In the industry

24 y

since Jul 19, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Aug 24, 2022 · West Des Moines, Ia
A••••••• A••••••• S•••••••• L•• BD affiliated
Nov 1, 2021 to Sep 27, 2022 · W Des Monies, Ia
A••••••• A••••••• S••••••• former
Mar 26, 2010 to Nov 1, 2021 · W Des Moines, Ia
S••••••••• A•••••• A•••••••• I••• former
Feb 5, 2008 to Mar 5, 2010 · West Des Moines, Ia
1••• C•••••• M••••••••• C•••••• unclassified
Aug 19, 2003 to Feb 8, 2008 · West Desmoines, Ia
E•••••••• A•••••••• L•• national BD
Jan 10, 2003 to Aug 22, 2003 · West Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

A••••••• A••••••• S•••••••• L•• to P•••••••• S••••••••• I•••
left Sep 27, 2022, registered Aug 24, 2022 (-34 days) · Affiliated broker-dealer or bank to another
A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••
left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
S••••••••• A•••••• A•••••••• I••• to A••••••• A••••••• S•••••••
left Mar 5, 2010, registered Mar 26, 2010 (21 days) · Other
1••• C•••••• M••••••••• C•••••• to S••••••••• A•••••• A•••••••• I•••
left Feb 8, 2008, registered Feb 5, 2008 (-3 days) · Other
E•••••••• A•••••••• L•• to 1••• C•••••• M••••••••• C••••••
left Aug 22, 2003, registered Aug 19, 2003 (-3 days) · Other

Signals

B•••• L••• S•••• left A••••••• A••••••• S•••••••• L•• for P•••••••• S••••••••• I••• (registered 2022-08-24)
Sep 27, 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