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••••• P••• S•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedLakeville, Mn IA-onlyIAPD 4850355

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Jun 29, 2026

In the industry

21 y

since Oct 21, 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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jun 29, 2026 · Plymouth, Mn
C•••••• W••••• A••••••• independent RIA
Oct 7, 2024 to Jun 26, 2026 · San Diego, Ca
S••••• F•••••••• S•••••••• I••• independent RIA
Nov 3, 2016 to Aug 24, 2018 · Edina, Mn
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 2, 2016 to Aug 24, 2018 · Edina, Mn
M•• F•••••••• S•••••••• I••• former
Aug 28, 2015 to Nov 2, 2016 · Minnetonka, Mn
I•••••••• F•••••••• G•••• former
Feb 13, 2015 to Sep 2, 2015 · Plymouth, Mn
L•• F•••••••• L•• BD affiliated
Sep 3, 2013 to Dec 11, 2014 · St. Paul Park, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 16, 2006 to Sep 3, 2013 · Wayzata, Mn
P•••• S•••••• • C•• institutional
Apr 26, 2005 to Jun 23, 2006 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

C•••••• W••••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Jun 26, 2026, registered Jun 29, 2026 (3 days) · RIA to affiliated broker-dealer or bank
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• F•••••••• S•••••••• I•••
left Aug 24, 2018, registered Nov 3, 2016 (-659 days) · Other
S••••• F•••••••• S•••••••• I••• to C•••••• W••••• A•••••••
left Aug 24, 2018, registered Oct 7, 2024 (2236 days) · Other
M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 2, 2016, registered Nov 2, 2016 (0 days) · Other
I•••••••• F•••••••• G•••• to M•• F•••••••• S•••••••• I•••
left Sep 2, 2015, registered Aug 28, 2015 (-5 days) · Other
L•• F•••••••• L•• to I•••••••• F•••••••• G••••
left Dec 11, 2014, registered Feb 13, 2015 (64 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Sep 3, 2013, registered Sep 3, 2013 (0 days) · Other
P•••• S•••••• • C•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 23, 2006, registered Jun 16, 2006 (-7 days) · Other

Signals

D••••• P••• S••••• left C•••••• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-06-29)
Jun 26, 2026 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address