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

R•••••• S•••••• C••••••••

P•••••• W••••• A•• T••state registeredPreston, MnIA-onlyIAPD 6191437

Feed of 09/14/2026

Also filed as R•••••• S•••••• C••••••••

At current firm

0 y

since Jan 2, 2026

In the industry

11 y

since Nov 4, 2014 (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

P•••••• W••••• A•• T•• state registered current
since Jan 2, 2026 · Preston, Mn
M•• I•••••••• S•••••••• L•• BD affiliated
May 28, 2025 to Oct 31, 2025 · Minneapolis, Mn
J••• M••••• S••••••••• L•• wirehouse
Aug 22, 2022 to May 13, 2025 · Blaine, Mn
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 9, 2019 to Sep 9, 2022 · Edina, Mn
W•••• F•••• A••••••• wirehouse
Aug 8, 2016 to Nov 13, 2019 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to P•••••• W••••• A•• T••
left Oct 31, 2025, registered Jan 2, 2026 (63 days) · Affiliated broker-dealer or bank to a state-registered adviser
J••• M••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
left May 13, 2025, registered May 28, 2025 (15 days) · Wirehouse to affiliated broker-dealer or bank
V•••• F•••••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Sep 9, 2022, registered Aug 22, 2022 (-18 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
left Nov 13, 2019, registered Dec 9, 2019 (26 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R•••••• S•••••• C•••••••• left M•• I•••••••• S•••••••• L•• for P•••••• W••••• A•• T•• (registered 2026-01-02)
Oct 31, 2025 · Advisor changed firm · fact
R•••••• S•••••• C•••••••• left J••• M••••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-05-28)
May 13, 2025 · Advisor changed firm · fact
R•••••• S•••••• C•••••••• left V•••• F•••••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-08-22)
Sep 9, 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: STATE REGISTEREDderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address