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RIA Intelligence

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Registered advisor

R••••• S•• C•••• C••••••••

H••••••••• F•••••••• A•••••••BD affiliatedEden Prairie, Mn dual registrantIAPD 5399855

Feed of 09/17/2026

Also filed as R••••• Stc•••• C••••••••

At current firm

3 y

since Oct 10, 2022

In the industry

18 y

since Jan 8, 2008 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 29, 2026 · Eden Prairie, Mn
H••••••••• F•••••••• A••••••• BD affiliated current
since Oct 10, 2022 · Eden Prairie, Mn
R•• C•••••• M••••••• L•• national BD
Apr 1, 2019 to Sep 27, 2022 · Minneapolis, Mn
U••• B•••••• I••••••••• I••• former
Jul 25, 2017 to Mar 29, 2019 · Saint Paul, Mn
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 6, 2015 to Jul 18, 2017 · Edina, Mn
T• A••••••••• I••• former
Jul 6, 2015 to Jul 18, 2017 · Edina, Mn
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to May 11, 2011 · Minneapolis, Mn
W•••• F•••• I••••••••• L•• unclassified
Jan 8, 2008 to Jan 3, 2011 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to H••••••••• F•••••••• A•••••••
left Sep 27, 2022, registered Oct 10, 2022 (13 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••
left Mar 29, 2019, registered Apr 1, 2019 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 18, 2017, registered Jul 6, 2015 (-743 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to U••• B•••••• I••••••••• I•••
left Jul 18, 2017, registered Jul 25, 2017 (7 days) · Other
W•••• F•••• A••••••• to T• A••••••••• I•••
left May 11, 2011, registered Jul 6, 2015 (1517 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

R••••• S•• C•••• C•••••••• left R•• C•••••• M••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2022-10-10)
Sep 27, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address