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

D••••• K•••• W••••••

U••• B•••••• A•••••••• L••BD affiliatedMinneapolis, Mndual registrantIAPD 4601412

Feed of 09/14/2026

Also filed as Dan W••••••

At current firm

0 y

since Feb 13, 2026

In the industry

22 y

since Sep 1, 2004 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Minneapolis, Mn
U••• B•••••• I••••••••• I••• former
Nov 3, 2025 to Feb 13, 2026 · Minneapolis, Mn
H••••••••• F•••••••• A••••••• BD affiliated
Dec 8, 2021 to Aug 20, 2025 · Minnetonka, Mn
W•••• F•••• A••••••• wirehouse
Nov 1, 2016 to Dec 1, 2021 · Minneapolis, Mn
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Oct 20, 2011 · Minneapolis, Mn
W•••• F•••• I••••••••• L•• unclassified
Jul 10, 2008 to Jan 3, 2011 · Minneapolis, Mn
W•••• F•••• I••••••••• L•• unclassified
Sep 1, 2004 to May 4, 2005 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
H••••••••• F•••••••• A••••••• to U••• B•••••• I••••••••• I•••
left Aug 20, 2025, registered Nov 3, 2025 (75 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to H••••••••• F•••••••• A•••••••
left Dec 1, 2021, registered Dec 8, 2021 (7 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

D••••• K•••• W•••••• left H••••••••• F•••••••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2025-11-03)
Aug 20, 2025 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address