DFX Intelligence
RIA Intelligence
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Feed of 09/15/2026
At current firm
1 y
since Aug 12, 2025
In the industry
17 y
since Apr 1, 2009 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Aug 12, 2025 · Oakdale, Mn
- C••••••••• F•••••••• N•••••• national BDMar 25, 2022 to Aug 11, 2025 · Woodbury, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 31, 2022 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedApr 2, 2009 to Jan 3, 2011 · Hastings, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to ••••••••left Aug 11, 2025, registered Aug 12, 2025 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Mar 31, 2022, registered Mar 25, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- 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
- J•••• M••• M••••• left C••••••••• F•••••••• N•••••• for &Partners (registered 2025-08-12)Aug 11, 2025 · Advisor changed firm · fact
- J•••• M••• M••••• left W•••• F•••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2022-03-25)Mar 31, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address