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

M••••• L• W••••

T••••••• I••••••••• M••••••••• I•••BD affiliatedMinneapolis, Mn dual registrantIAPD 4770977

Feed of 09/14/2026

Also filed as M••••• Louise Adams

At current firm

1 y

since May 29, 2025

In the industry

19 y

since Mar 23, 2007 (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

T••••••• I••••••••• M••••••••• I••• BD affiliated current
since May 29, 2025 · Lexington, Ky
T••••• A••••••• S•••••••• I••• BD affiliated
Feb 9, 2023 to Mar 5, 2025 · Lexington, Ky
F•••• K••••••• S••••••••• C••• independent RIA
May 29, 2020 to Jan 24, 2023 · Lexington, Ky
R•••• S•••••••• • A••••••••• L•• former
Feb 23, 2019 to Jun 1, 2020 · Lexington, Ky
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 11, 2018 to Feb 21, 2019 · Richmond, Ky
I••••••••• P••••••••• I••• former
Oct 31, 2016 to Sep 11, 2018 · Richmond, Ky
I••••••••• P••••••••• I••• former
Jun 25, 2012 to Jun 20, 2016 · San Antonio, Tx
E••••• J•••• national BD
Apr 4, 2007 to May 1, 2012 · Nicholasville, Ky

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••
left Mar 5, 2025, registered May 29, 2025 (85 days) · Affiliated broker-dealer or bank to another
F•••• K••••••• S••••••••• C••• to T••••• A••••••• S•••••••• I•••
left Jan 24, 2023, registered Feb 9, 2023 (16 days) · RIA to affiliated broker-dealer or bank
R•••• S•••••••• • A••••••••• L•• to F•••• K••••••• S••••••••• C•••
left Jun 1, 2020, registered May 29, 2020 (-3 days) · RIA to RIA · moved with a team
A••••••••• F•••••••• S•••••••• L•• to R•••• S•••••••• • A••••••••• L••
left Feb 21, 2019, registered Feb 23, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA
I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 11, 2018, registered Sep 11, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to I••••••••• P••••••••• I•••
left May 1, 2012, registered Jun 25, 2012 (55 days) · Other

Signals

M••••• L• W•••• left T••••• A••••••• S•••••••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2025-05-29)
Mar 5, 2025 · Advisor changed firm · fact
M••••• L• W•••• left F•••• K••••••• S••••••••• C••• for T••••• A••••••• S•••••••• I••• (registered 2023-02-09)
Jan 24, 2023 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address