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••••••• M•••••• S••••••• H•••••••••

J•••••• A• D•••••• F•••••••• G••••• I•••state registeredMaple Grove, Mn IA-onlyIAPD 6149488

Feed of 09/14/2026

Also filed as T••••••• M•••••• S••••••• H•••••••••

At current firm

1 y

since Jun 16, 2025

In the industry

13 y

since Mar 8, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J•••••• A• D•••••• F•••••••• G••••• I••• state registered current
since Jun 16, 2025 · Northfield, Mn
U••• B•••••• I••••••••• I••• former
Nov 15, 2018 to Dec 13, 2019 · Saint Paul, Mn
C••••••••• F•••••••• N•••••• national BD
Aug 3, 2017 to Jun 20, 2018 · Rochester, Mn
W•••••• • R••• former
Jul 17, 2015 to Aug 8, 2017 · Rochester, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 2, 2015 to Aug 4, 2015 · Rochester, Mn
E••••• J•••• national BD
May 6, 2013 to Jun 11, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to J•••••• A• D•••••• F•••••••• G••••• I•••
left Dec 13, 2019, registered Jun 16, 2025 (2012 days) · Affiliated broker-dealer or bank to a state-registered adviser
C••••••••• F•••••••• N•••••• to U••• B•••••• I••••••••• I•••
left Jun 20, 2018, registered Nov 15, 2018 (148 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to C••••••••• F•••••••• N••••••
left Aug 8, 2017, registered Aug 3, 2017 (-5 days) · Other
A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••
left Aug 4, 2015, registered Jul 17, 2015 (-18 days) · Other
E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left Jun 11, 2015, registered Jul 2, 2015 (21 days) · Affiliated broker-dealer or bank to another

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: STATE REGISTEREDderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address