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••••••• M•••• D•••••••

R•• C•••••• M••••••• L••national BDDuluth, Mn dual registrantIAPD 5630899

Feed of 09/15/2026

Also filed as Danielle Marie Charles

At current firm

2 y

since Jun 5, 2024

In the industry

26 y

since Aug 1, 2000 (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

R•• C•••••• M••••••• L•• national BD current
since Jun 5, 2024 · Duluth, Mn
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Jun 23, 2023 to Mar 3, 2025 · Duluth, Mn
W•••• F•••• A••••••• wirehouse
May 8, 2018 to Jun 29, 2023 · Duluth, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 5, 2018 to May 15, 2018 · Duluth, Mn

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A•••••• A•••••••• L•• to R•• C•••••• M••••••• L••
left Mar 3, 2025, registered Jun 5, 2024 (-271 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••
left Jun 29, 2023, registered Jun 23, 2023 (-6 days) · Wirehouse to independent RIA
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left May 15, 2018, registered May 8, 2018 (-7 days) · Affiliated broker-dealer or bank to wirehouse

Signals

D••••••• M•••• D••••••• left I••••••••• A•••••• A•••••••• L•• for R•• C•••••• M••••••• L•• (registered 2024-06-05)
Mar 3, 2025 · a•••••• firm change · fact
D••••••• M•••• D••••••• left W•••• F•••• A••••••• for I••••••••• A•••••• A•••••••• L•• (registered 2023-06-23)
Jun 29, 2023 · a•••••• firm change · 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address