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•••••• R••••• E•••••••

G••••••• W••••• M•••••••••BD affiliatedArden Hills, Mndual registrantIAPD 6201341

Feed of 09/14/2026

Also filed as M•••••• R••••• E•••••••

At current firm

2 y

since Apr 23, 2024

In the industry

10 y

since Oct 1, 2015 (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

G••••••• W••••• M••••••••• BD affiliated current
since Nov 6, 2024 · Arden Hills, Mn
G••••••• A•••••••• L•• independent RIA current
since Apr 23, 2024 · Arden Hills, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 9, 2022 to Jan 10, 2024 · Coon Rapids, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 27, 2020 to Sep 12, 2022 · New York, Ny
N••• F•••••••• G••••• I••• former
May 4, 2018 to Jul 31, 2019 · Eden Prairie, Mn
S•••••••• F••••••••• I••• former
Jul 13, 2017 to Oct 27, 2017 · Red Wing, Mn
S•••••• R••••••••• A•••••••• L•• independent RIA
Jan 5, 2017 to Feb 6, 2017 · St Louis Park, Mn
P•••••••• S••••••••• I••• BD affiliated
Dec 4, 2015 to Jan 10, 2017 · Lake Elmo, Mn

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to G••••••• A•••••••• L••
left Jan 10, 2024, registered Apr 23, 2024 (104 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 12, 2022, registered Sep 9, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank
N••• F•••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 31, 2019, registered Mar 27, 2020 (240 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• F••••••••• I••• to N••• F•••••••• G••••• I•••
left Oct 27, 2017, registered May 4, 2018 (189 days) · Affiliated broker-dealer or bank to independent RIA
S•••••• R••••••••• A•••••••• L•• to S•••••••• F••••••••• I•••
left Feb 6, 2017, registered Jul 13, 2017 (157 days) · Other
P•••••••• S••••••••• I••• to S•••••• R••••••••• A•••••••• L••
left Jan 10, 2017, registered Jan 5, 2017 (-5 days) · Other

Signals

M•••••• R••••• E••••••• left A••••••••• F•••••••• S•••••••• L•• for G••••••• A•••••••• L•• (registered 2024-04-23)
Jan 10, 2024 · Advisor changed firm · fact
M•••••• R••••• E••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-09-09)
Sep 12, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address