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•••••• E•••••••• N•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 4757318

Feed of 09/14/2026

Also filed as Shelley Elizabeth Sproull

At current firm

0 y

since Dec 8, 2025

In the industry

22 y

since Mar 31, 2004 (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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 8, 2025 · Plymouth, Mn
L••• K••• • C•••••• former
Nov 24, 2021 to Dec 9, 2025 · Cincinnati, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 17, 2015 to Nov 23, 2021 · Saginaw, Mi
M••••• S•••••• wirehouse
Oct 20, 2010 to Nov 20, 2015 · Saginaw, Mi

Moves

a registration end followed by a registration begin elsewhere

L••• K••• • C•••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Dec 9, 2025, registered Dec 8, 2025 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• K••• • C••••••
left Nov 23, 2021, registered Nov 24, 2021 (1 days) · Wirehouse to independent RIA
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 20, 2015, registered Nov 17, 2015 (-3 days) · Wirehouse to wirehouse · moved with a team

Signals

Shelley Elizabeth Norris left L.M. Kohn & Company for Wealth Enhancement Advisory Services, Llc (registered 2025-12-08)
Dec 9, 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