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

T•••••• A••• R••••

G••••••• W••••• M•••••••••BD affiliatedArden Hills, Mn dual registrantIAPD 5179568

Feed of 09/14/2026

At current firm

1 y

since Oct 22, 2024

In the industry

20 y

since Jul 13, 2006 (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

G••••••• W••••• M••••••••• BD affiliated current
since Oct 22, 2024 · Cottage Grove, Mn
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Nov 1, 2024 · Oakdale, Mn
S•••••••• F••••••••• I••• former
Nov 21, 2018 to Sep 1, 2023 · Oakdale, Mn
R•• C•••••• M••••••• L•• national BD
Nov 1, 2016 to Nov 20, 2018 · St. Paul, Mn
A••••• F•••••••• S•••••••• I••• independent RIA
Dec 18, 2015 to Jan 20, 2017 · Minneapolis, Mn
C•••••• T•••• B••• unclassified
Aug 1, 2006 to Jul 27, 2007 · Edina, Mn

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to G••••••• W••••• M•••••••••
left Nov 1, 2024, registered Oct 22, 2024 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
R•• C•••••• M••••••• L•• to S•••••••• F••••••••• I•••
left Nov 20, 2018, registered Nov 21, 2018 (1 days) · Affiliated broker-dealer or bank to another
A••••• F•••••••• S•••••••• I••• to R•• C•••••• M••••••• L••
left Jan 20, 2017, registered Nov 1, 2016 (-80 days) · Other
C•••••• T•••• B••• to A••••• F•••••••• S•••••••• I•••
left Jul 27, 2007, registered Dec 18, 2015 (3066 days) · Other

Signals

T•••••• A••• R•••• left O•••• W•••••• I••• for G••••••• W••••• M••••••••• (registered 2024-10-22)
Nov 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address