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••••• R•••••• M••••••

O•••• W•••••• I•••BD affiliatedBrookfield, Wi dual registrantIAPD 5756340

Certified Financial Planner

Feed of 09/15/2026

At current firm

3 y

since Mar 14, 2023

In the industry

16 y

since Sep 10, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jun 14, 2024 · Brookfield, Wi
R••• W••••• A••••••• L•• state registered current
since Mar 14, 2023 · Brookfield, Wi
S••••••••• A•••••• A•••••••• I••• former
Jan 3, 2022 to Jun 14, 2024 · Brookfield, Wi
A••••••• W••••• M••••••••• M••••••••• I••• state registered
Mar 19, 2015 to Jul 19, 2022 · M••••••••, Wi
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Mar 16, 2015 to Jan 7, 2022 · M••••••••, Wi
J• W• C••• A•••••••• I••• BD affiliated
Apr 10, 2013 to Feb 26, 2015 · M••••••••, Wi

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to R••• W••••• A••••••• L••
left Jun 14, 2024, registered Mar 14, 2023 (-458 days) · Affiliated broker-dealer or bank to a state-registered adviser
A••••••• W••••• M••••••••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jul 19, 2022, registered Jan 3, 2022 (-197 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••• W••••• M••••••••• M••••••••• I•••
left Jan 7, 2022, registered Mar 19, 2015 (-2486 days) · Affiliated broker-dealer or bank to a state-registered adviser
J• W• C••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Feb 26, 2015, registered Mar 16, 2015 (18 days) · Other

Signals

D••••• R•••••• M•••••• left S••••••••• A•••••• A•••••••• I••• for R••• W••••• A••••••• L•• (registered 2023-03-14)
Jun 14, 2024 · Advisor changed firm · fact
D••••• R•••••• M•••••• left A••••••• W••••• M••••••••• M••••••••• I••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-01-03)
Jul 19, 2022 · Advisor changed firm · fact
D••••• R•••••• M•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••• W••••• M••••••••• M••••••••• I••• (registered 2015-03-19)
Jan 7, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address