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•••••• R••• S••••••

C••••• I••••••••• A••••••• L••BD affiliatedOmaha, Nedual registrantIAPD 5158145

Feed of 09/14/2026

Also filed as S•••••• S••••••

At current firm

3 y

since Aug 10, 2023

In the industry

19 y

since Feb 7, 2007 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 10, 2023 · Omaha, Ne
S••••••• F•••••••• S•••••••• I••• former
Apr 22, 2019 to Jan 26, 2024 · Omaha, Ne
W•••• F•••• A••••••• wirehouse
Jul 25, 2013 to Apr 4, 2019 · Butte, Mt
F•••• N••••••• C•••••• M••••••• I••• former
Jun 8, 2012 to May 31, 2013 · Omaha, Ne
S••••••• F•••••••• S•••••••• I••• former
May 3, 2007 to Nov 24, 2010 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Jan 26, 2024, registered Aug 10, 2023 (-169 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to S••••••• F•••••••• S•••••••• I•••
left Apr 4, 2019, registered Apr 22, 2019 (18 days) · Wirehouse to affiliated broker-dealer or bank
F•••• N••••••• C•••••• M••••••• I••• to W•••• F•••• A•••••••
left May 31, 2013, registered Jul 25, 2013 (55 days) · Other
S••••••• F•••••••• S•••••••• I••• to F•••• N••••••• C•••••• M••••••• I•••
left Nov 24, 2010, registered Jun 8, 2012 (562 days) · Other

Signals

S•••••• R••• S•••••• left S••••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-08-10)
Jan 26, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address