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

T••••• C•••••• P•••

C•••••• A•••• M••••••••• L••independent RIAMinnetonka, Mn IA-onlyIAPD 5852449

Feed of 09/14/2026

Also filed as T••••• C P•••

At current firm

4 y

since Jun 1, 2022

In the industry

11 y

since May 1, 2015 (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

C•••••• A•••• M••••••••• L•• independent RIA current
since Jun 1, 2022 · Chicago, Il
M••••••• F••••• W••••• former
Feb 14, 2022 to Jun 2, 2022 · Minnetonka, Mn
A••••••••• W••••• P••••••• independent RIA
Oct 27, 2021 to Feb 24, 2022 · Minneapolis, Mn
A•••••• A••••••• S••••••• former
Oct 6, 2021 to Nov 2, 2021 · Plymouth, Mn
R•• C•••••• M••••••• L•• national BD
Aug 3, 2018 to Sep 24, 2021 · Minnetonka, Mn
M••••• S•••••• wirehouse
Apr 28, 2017 to Apr 3, 2018 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

M••••••• F••••• W••••• to C•••••• A•••• M••••••••• L••
left Jun 2, 2022, registered Jun 1, 2022 (-1 days) · RIA to RIA · moved with a team
A••••••••• W••••• P••••••• to M••••••• F••••• W•••••
left Feb 24, 2022, registered Feb 14, 2022 (-10 days) · RIA to RIA
A•••••• A••••••• S••••••• to A••••••••• W••••• P•••••••
left Nov 2, 2021, registered Oct 27, 2021 (-6 days) · Affiliated broker-dealer or bank to independent RIA
R•• C•••••• M••••••• L•• to A•••••• A••••••• S•••••••
left Sep 24, 2021, registered Oct 6, 2021 (12 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•• C•••••• M••••••• L••
left Apr 3, 2018, registered Aug 3, 2018 (122 days) · Wirehouse to affiliated broker-dealer or bank

Signals

T••••• C•••••• P••• left M••••••• F••••• W••••• for C•••••• A•••• M••••••••• L•• (registered 2022-06-01)
Jun 2, 2022 · Advisor changed firm · fact
T••••• C•••••• P••• left A••••••••• W••••• P••••••• for M••••••• F••••• W••••• (registered 2022-02-14)
Feb 24, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address