DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• L•• S•••••
Feed of 09/14/2026
At current firm
0 y
since May 7, 2026
In the industry
19 y
since Dec 18, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince May 7, 2026 · Annandale, Mn
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedJul 1, 2015 to Nov 5, 2025 · St. Paul, Mn
- L•• F•••••••• L•• BD affiliatedSep 13, 2013 to Nov 15, 2013 · Sauk Rapids, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDApr 22, 2010 to Sep 18, 2013 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Nov 15, 2013, registered Jul 1, 2015 (593 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 13, 2013 (-5 days) · Other
Signals
No dated event on this person.
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