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

R•••••• R••• V•••• V••••

R••••• W• B•••• • C•• I•••••••••mixed wealthRogers, Mn dual registrantIAPD 5581224

Feed of 09/15/2026

Also filed as R•••••• V•••• V••••

At current firm

1 y

since Sep 26, 2024

In the industry

17 y

since Sep 24, 2008 (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

R••••• W• B•••• • C•• I••••••••• mixed wealth current
since Sep 26, 2024 · Rogers, Mn
L•• F•••••••• L•• BD affiliated
Oct 12, 2022 to Sep 26, 2024 · Rogers, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 10, 2015 to Oct 5, 2022 · Minneapolis, Mn
E••••• J•••• national BD
Jan 12, 2015 to Oct 9, 2015 · Rogers, Mn
P•••• S••••••••• L•• no RAUM
Oct 28, 2013 to Nov 25, 2014 · Plymouth, Mn

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to R••••• W• B•••• • C•• I•••••••••
left Sep 26, 2024, registered Sep 26, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••
left Oct 5, 2022, registered Oct 12, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to T••••••• I••••••••• M••••••••• I•••
left Oct 9, 2015, registered Nov 10, 2015 (32 days) · Other
P•••• S••••••••• L•• to E••••• J••••
left Nov 25, 2014, registered Jan 12, 2015 (48 days) · Other

Signals

R•••••• R••• V•••• V•••• left L•• F•••••••• L•• for R••••• W• B•••• • C•• I••••••••• (registered 2024-09-26)
Sep 26, 2024 · Advisor changed firm · fact
R•••••• R••• V•••• V•••• left T••••••• I••••••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2022-10-12)
Oct 5, 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: Wealth manager with institutional or fund businessderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address