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•••• P••••• B••••••••

A•••••• P••••••• P•••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 4577477

Feed of 09/15/2026

At current firm

2 y

since May 24, 2024

In the industry

23 y

since Nov 12, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••••• P••••••• P•••••••• I••• BD affiliated current
since May 24, 2024 · Indianapolis, In
C••••••• S••••••••• I••• BD affiliated
Apr 19, 2021 to May 14, 2024 · Fairlawn, Oh
T• A••••••••• I••• former
Dec 15, 2008 to Jan 11, 2021 · Charlotte, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 15, 2008 to Dec 31, 2020 · Charlotte, Nc
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 15, 2008 to Sep 23, 2008 · Charlotte, Nc
N•••••• I••••••••• I••• unclassified
Dec 13, 2004 to Aug 20, 2008 · Mayfield Heights, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 12, 2002 to Sep 8, 2003 · Woodmere, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to A•••••• P••••••• P•••••••• I•••
left May 14, 2024, registered May 24, 2024 (10 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to C••••••• S••••••••• I•••
left Jan 11, 2021, registered Apr 19, 2021 (98 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Dec 15, 2008 (-4399 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 23, 2008, registered Dec 15, 2008 (83 days) · Other
N•••••• I••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 20, 2008, registered Sep 15, 2008 (26 days) · Other
A••••••••• F•••••••• S•••••••• L•• to N•••••• I••••••••• I•••
left Sep 8, 2003, registered Dec 13, 2004 (462 days) · Other

Signals

S•••• P••••• B•••••••• left C••••••• S••••••••• I••• for A•••••• P••••••• P•••••••• I••• (registered 2024-05-24)
May 14, 2024 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address