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

M••• T•••••• F••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Cloud, Mndual registrantIAPD 5958258

Feed of 09/14/2026

Also filed as M••• F••••

At current firm

0 y

since Feb 13, 2026

In the industry

15 y

since Sep 9, 2011 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Saint Cloud, Mn
U••• B•••••• I••••••••• I••• former
Nov 14, 2023 to Feb 13, 2026 · Saint Cloud, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Jul 28, 2022 to Nov 1, 2023 · St Cloud, Mn
C••••• A••••••• L•• former
Jul 13, 2022 to Aug 1, 2023 · St Cloud, Mn
G•••• V••••• A•••••• G••••• L•• independent RIA
Jun 8, 2020 to Jun 27, 2022 · Albertville, Mn
W•••• F•••• A••••••• wirehouse
Apr 5, 2016 to Jun 9, 2020 · Sartell, Mn
B••••••• I••••••••• S•••••••• I••• ••••• former
Mar 5, 2013 to Apr 14, 2016 · Little Falls, Mn
E••••• J•••• national BD
Nov 7, 2011 to Feb 20, 2013 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Nov 1, 2023, registered Nov 14, 2023 (13 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Aug 1, 2023, registered Jul 28, 2022 (-369 days) · Affiliated broker-dealer or bank to another
G•••• V••••• A•••••• G••••• L•• to C••••• A••••••• L••
left Jun 27, 2022, registered Jul 13, 2022 (16 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to G•••• V••••• A•••••• G••••• L••
left Jun 9, 2020, registered Jun 8, 2020 (-1 days) · Wirehouse to independent RIA
B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••
left Apr 14, 2016, registered Apr 5, 2016 (-9 days) · Other
E••••• J•••• to B••••••• I••••••••• S•••••••• I••• •••••
left Feb 20, 2013, registered Mar 5, 2013 (13 days) · Other

Signals

M••• T•••••• F•••• left C••••• I••••••••• A••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-11-14)
Nov 1, 2023 · a•••••• firm change · fact
M••• T•••••• F•••• left C••••• A••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2022-07-28)
Aug 1, 2023 · a•••••• firm change · fact
M••• T•••••• F•••• left G•••• V••••• A•••••• G••••• L•• for C••••• A••••••• L•• (registered 2022-07-13)
Jun 27, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address