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.
Feed of 09/14/2026
Also filed as Rob Clark
At current firm
7 y
since Jul 28, 2019
In the industry
13 y
since Jul 5, 2013 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Edward Jones national BD currentsince Jul 28, 2019 · Holland, Mi
- Edelman Financial Engines independent RIASep 15, 2016 to Jul 10, 2019 · Grand Rapids, Mi
- Financial Engines Advisor Center, LLC formerJul 5, 2016 to Dec 1, 2016 · Grand Rapids, Mi
- Tmfs-Grand Rapids, LLC formerMay 26, 2015 to Jul 12, 2016 · Grand Rapids, Mi
- Raymond James Financial Services Advisors, Inc BD affiliatedJul 23, 2013 to May 5, 2015 · Stevensville, Mi
- Principal Securities, Inc. BD affiliatedJul 11, 2013 to Jul 23, 2013 · Ocala, Fl
Moves
a registration end followed by a registration begin elsewhere
- Edelman Financial Engines to Edward Jonesleft Jul 10, 2019, registered Jul 28, 2019 (18 days) · RIA to affiliated broker-dealer or bank
- Financial Engines Advisor Center, LLC to Edelman Financial Enginesleft Dec 1, 2016, registered Sep 15, 2016 (-77 days) · corporate re-registration, not a move
- Tmfs-Grand Rapids, LLC to Financial Engines Advisor Center, LLCleft Jul 12, 2016, registered Jul 5, 2016 (-7 days) · Other
- Raymond James Financial Services Advisors, Inc to Tmfs-Grand Rapids, LLCleft May 5, 2015, registered May 26, 2015 (21 days) · Other
- Principal Securities, Inc. to Raymond James Financial Services Advisors, Incleft Jul 23, 2013, registered Jul 23, 2013 (0 days) · Other
Signals
No dated event on this person.
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address