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•••• J• R••••••••

L•• F•••••••• L••BD affiliatedWest Des Moines, Iadual registrantIAPD 5587479

Feed of 09/14/2026

At current firm

1 y

since Nov 8, 2024

In the industry

17 y

since Dec 11, 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

L•• F•••••••• L•• BD affiliated current
since Nov 8, 2024 · West Des Moines, Ia
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Nov 12, 2024 · West Des Moines, Ia
S••••••••• A•••••• A•••••••• I••• former
Mar 24, 2017 to Jun 14, 2024 · Johnston, Ia
Q•••••• A•••• M••••••••• I••• former
Nov 18, 2013 to Apr 11, 2017 · Minneapolis, Mn
E••••• J•••• national BD
Dec 12, 2008 to Nov 19, 2013 · Urbandale, Ia

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Nov 12, 2024, registered Nov 8, 2024 (-4 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Apr 11, 2017, registered Mar 24, 2017 (-18 days) · Other
E••••• J•••• to Q•••••• A•••• M••••••••• I•••
left Nov 19, 2013, registered Nov 18, 2013 (-1 days) · Other

Signals

R•••• J• R•••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-11-08)
Nov 12, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address