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

D•••• L•• M•••••••

O•••• W•••••• I•••BD affiliatedBloomington, Mn dual registrantIAPD 5336412

Feed of 09/15/2026

Also filed as D•••• M•••••••

At current firm

2 y

since Jun 14, 2024

In the industry

19 y

since Jul 30, 2007 (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

O•••• W•••••• I••• BD affiliated current
since Jun 14, 2024 · Bloomington, Mn
S••••••••• A•••••• A•••••••• I••• former
Jun 2, 2022 to Jun 14, 2024 · Shakopee, Mn
F•••• F•••••••• independent RIA
Jan 17, 2014 to Jun 1, 2022 · Shakopee, Mn
O•••• W•••••• I••• BD affiliated
May 9, 2013 to Dec 10, 2019 · Shakopee, Mn
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Feb 7, 2012 to Apr 24, 2013 · Shakopee, Mn
E•••••••• A•••••••• L•• national BD
Jan 7, 2009 to Aug 24, 2009 · Woodbury, Mn

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
F•••• F•••••••• to S••••••••• A•••••• A•••••••• I•••
left Jun 1, 2022, registered Jun 2, 2022 (1 days) · RIA to affiliated broker-dealer or bank
O•••• W•••••• I••• to F•••• F••••••••
left Dec 10, 2019, registered Jan 17, 2014 (-2153 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••
left Apr 24, 2013, registered May 9, 2013 (15 days) · Other
E•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Aug 24, 2009, registered Feb 7, 2012 (897 days) · Other

Signals

D•••• L•• M••••••• left F•••• F•••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-06-02)
Jun 1, 2022 · 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