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

S••••••• M•••••

I•••••••• A•••••••• L••BD affiliatedUrbandale, Ia dual registrantIAPD 6034565

Feed of 09/15/2026

Also filed as S••••••• M•••••

At current firm

0 y

since Oct 30, 2025

In the industry

14 y

since May 2, 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

I•••••••• A•••••••• L•• BD affiliated current
since Oct 30, 2025 · Urbandale, Ia
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 5, 2025 to Oct 15, 2025 · Johnstown, Pa
A•••••• A••••••• S••••••• former
Dec 14, 2023 to Sep 5, 2025 · Johnstown, Pa
O•••• I••••••••• I••• BD affiliated
Oct 14, 2015 to Aug 18, 2022 · Central City, Pa
E•••• N••••••• S••••••••• I••• former
Mar 3, 2015 to Oct 16, 2015 · Jennerstown, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to I•••••••• A•••••••• L••
left Oct 15, 2025, registered Oct 30, 2025 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
O•••• I••••••••• I••• to A•••••• A••••••• S•••••••
left Aug 18, 2022, registered Dec 14, 2023 (483 days) · Affiliated broker-dealer or bank to another
E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••
left Oct 16, 2015, registered Oct 14, 2015 (-2 days) · Other · moved with a team

Signals

S••••••• M••••• left C••••• I••••••••• A••••••• L•• for I•••••••• A•••••••• L•• (registered 2025-10-30)
Oct 15, 2025 · Advisor changed firm · fact
S••••••• M••••• left O•••• I••••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-12-14)
Aug 18, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address