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

B•••• M•••••••••

S•••••••• A••••••• L••national BDMinnetonka, Mn dual registrantIAPD 5929458

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• Aaron M•••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Jun 15, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Maple Grove, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
May 17, 2022 to Mar 31, 2025 · Minnetonka, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 19, 2021 to Jan 12, 2022 · Minnetonka, Mn
A•• S••• F•••••••• I•• former
Apr 28, 2017 to Feb 1, 2021 · Minneapolis, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 10, 2015 to Mar 15, 2017 · Minneapolis, Mn
A••••••• F•••••••• A•••••••• L•• BD affiliated
Mar 17, 2015 to Jun 24, 2015 · Bloomington, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 18, 2012 to Jul 16, 2013 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 12, 2022, registered May 17, 2022 (125 days) · Affiliated broker-dealer or bank to another
A•• S••• F•••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Feb 1, 2021, registered Feb 19, 2021 (18 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to A•• S••• F•••••••• I••
left Mar 15, 2017, registered Apr 28, 2017 (44 days) · Other
A••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jun 24, 2015, registered Jun 10, 2015 (-14 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••
left Jul 16, 2013, registered Mar 17, 2015 (609 days) · Other

Signals

B•••• M••••••••• left A••••••••• F•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-05-17)
Jan 12, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address