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

N•••••••• A•••• S••••••

L•• F•••••••• L••BD affiliatedRapid City, Sddual registrantIAPD 5657517

Feed of 09/14/2026

Also filed as N•••••••• S••••••

At current firm

3 y

since Sep 11, 2023

In the industry

17 y

since Aug 11, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Sep 11, 2023 · Rapid City, Sd
S•••••••• F••••••••• I••• former
Mar 29, 2021 to Sep 27, 2021 · Rapid City, Sd
B•• F•••••••• A•••••••• L•• former
Oct 5, 2020 to Nov 9, 2023 · Rapid City, Sd
W••••••• F•••••••• S•••••••• I••• former
Dec 5, 2017 to Jan 8, 2020 · Oakdale, Mn
S•••••••• F••••••••• I••• former
Dec 4, 2017 to Jan 8, 2020 · Scottsdale, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Apr 15, 2014 to Nov 10, 2017 · Denver, Co
C••••• C••••••• L•• former
Apr 2, 2013 to Apr 7, 2014 · Franklin, Tn

Moves

a registration end followed by a registration begin elsewhere

B•• F•••••••• A•••••••• L•• to S•••••••• F••••••••• I•••
left Nov 9, 2023, registered Mar 29, 2021 (-955 days) · RIA to affiliated broker-dealer or bank · moved with a team
S•••••••• F••••••••• I••• to L•• F•••••••• L••
left Sep 27, 2021, registered Sep 11, 2023 (714 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jan 8, 2020, registered Dec 5, 2017 (-764 days) · channel change inside one enterprise, not a move
W••••••• F•••••••• S•••••••• I••• to B•• F•••••••• A•••••••• L••
left Jan 8, 2020, registered Oct 5, 2020 (271 days) · Affiliated broker-dealer or bank to independent RIA
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S•••••••• F••••••••• I•••
left Nov 10, 2017, registered Dec 4, 2017 (24 days) · Other · moved with a team
C••••• C••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Apr 7, 2014, registered Apr 15, 2014 (8 days) · channel change inside one enterprise, not a move

Signals

N•••••••• A•••• S•••••• left B•• F•••••••• A•••••••• L•• for S•••••••• F••••••••• I••• (registered 2021-03-29)
Nov 9, 2023 · 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