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.

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Registered advisor

M••••••• R•• G••••

L•• F•••••••• L••BD affiliatedEdina, Mn dual registrantIAPD 4798227

Certified Financial Planner

Feed of 09/15/2026

Also filed as Mitch Roy G••••

At current firm

2 y

since Jan 31, 2024

In the industry

22 y

since Jul 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

L•• F•••••••• L•• BD affiliated current
since Jan 31, 2024 · Edina, Mn
B•••• C••• G••••• L••• unclassified
Aug 7, 2019 to Mar 26, 2024 · Minneapolis, Mn
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 30, 2018 to Feb 1, 2024 · Minneapolis, Mn
L•••• F••• A••••••• S••••••• BD affiliated
Jan 31, 2014 to Aug 31, 2018 · Minnetonka, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 8, 2007 to Jan 27, 2014 · Bloomington, Mn

Moves

a registration end followed by a registration begin elsewhere

B•••• C••• G••••• L••• to L•• F•••••••• L••
left Mar 26, 2024, registered Jan 31, 2024 (-55 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B•••• C••• G••••• L•••
left Feb 1, 2024, registered Aug 7, 2019 (-1639 days) · Other
L•••• F••• A••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 31, 2018, registered Aug 30, 2018 (-1 days) · Affiliated broker-dealer or bank to another
T••••••• I••••••••• M••••••••• I••• to L•••• F••• A••••••• S•••••••
left Jan 27, 2014, registered Jan 31, 2014 (4 days) · Other

Signals

M••••••• R•• G•••• left B•••• C••• G••••• L••• for L•• F•••••••• L•• (registered 2024-01-31)
Mar 26, 2024 · Advisor changed firm · fact
M••••••• R•• G•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for B•••• C••• G••••• L••• (registered 2019-08-07)
Feb 1, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address