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

C••• A••••••

N••••••••• M••••• I••••••••• S•••••••••no RAUMW Des Moines, Iadual registrantIAPD 5002167

Feed of 09/14/2026

Also filed as C••• A••••••

At current firm

2 y

since Apr 9, 2024

In the industry

20 y

since Feb 7, 2006 (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

N••••••••• M••••• I••••••••• S••••••••• no RAUM current
since Apr 9, 2024 · W Des Moines, Ia
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jul 1, 2014 to May 15, 2023 · Fairfield, Ia
F•••• A••••• A••••••• S•••••••• I••• former
Jul 2, 2012 to Jan 10, 2013 · Chesterfield, Mo
F•••• A••••• S••••••••• I••• former
Aug 30, 2007 to Jul 2, 2012 · San Diego, Ca
G•••••••• I••••••••• M••••••••• I••• unclassified
Apr 24, 2007 to May 7, 2007 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left May 15, 2023, registered Apr 9, 2024 (330 days) · Other
F•••• A••••• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 10, 2013, registered Jul 1, 2014 (537 days) · Other
F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• S••••••••• I•••
left May 7, 2007, registered Aug 30, 2007 (115 days) · Other

Signals

C••• A•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-04-09)
May 15, 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: No RAUM reportedderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address