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

P•••• N••• S•••••••

O•••• W•••••• I•••BD affiliatedSioux Falls, Sddual registrantIAPD 5214245

Certified Financial Planner

Feed of 09/14/2026

Also filed as P•••• N••• S•••••••

At current firm

2 y

since Feb 5, 2024

In the industry

19 y

since Sep 29, 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

O•••• W•••••• I••• BD affiliated current
since Feb 5, 2024 · Sioux Falls, Sd
P•••• S••••••••• L•• no RAUM
Oct 14, 2019 to Feb 5, 2024 · Sioux Falls, Sd
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 13, 2010 to Oct 15, 2019 · Omaha, Ne
T• A••••••••• I••• former
Aug 13, 2010 to Oct 15, 2019 · Omaha, Ne
C•••• I••••••••• S••••••• C•••• former
May 14, 2009 to Aug 2, 2010 · Chicago, Il
T• A••••••••• I••• former
Jul 27, 2007 to May 7, 2009 · San Diego, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 27, 2007 to May 7, 2009 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to O•••• W•••••• I•••
left Feb 5, 2024, registered Feb 5, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to P•••• S••••••••• L••
left Oct 15, 2019, registered Oct 14, 2019 (-1 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 15, 2019, registered Aug 13, 2010 (-3350 days) · channel change inside one enterprise, not a move
C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••
left Aug 2, 2010, registered Aug 13, 2010 (11 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to C•••• I••••••••• S••••••• C••••
left May 7, 2009, registered May 14, 2009 (7 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 7, 2009, registered Jul 27, 2007 (-650 days) · channel change inside one enterprise, not a move

Signals

P•••• N••• S••••••• left P•••• S••••••••• L•• for O•••• W•••••• I••• (registered 2024-02-05)
Feb 5, 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