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

C••••••••• S•••••

A••••••••• F•••••••• S•••••••• L••national BDMadison, Widual registrantIAPD 6258994

Feed of 09/14/2026

Also filed as C••••••••• Blair S•••••

At current firm

2 y

since Jun 11, 2024

In the industry

12 y

since Dec 30, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 11, 2024 · Madison, Wi
E•••••• A••••••• G••••• L•• BD affiliated
Aug 10, 2023 to May 24, 2024 · Greenwood Village, Co
M•••••• I••••••••• A•••••••• L•• mixed wealth
Sep 29, 2022 to Apr 5, 2023 · M••••••, Wi
A••••• A•• P••••••• S••••••• BD affiliated
Oct 21, 2016 to Nov 13, 2020 · Madison, Wi
S•••••••• A••••••• L•• national BD
Oct 14, 2014 to Sep 23, 2016 · Middleton, Wi

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 24, 2024, registered Jun 11, 2024 (18 days) · Affiliated broker-dealer or bank to another
M•••••• I••••••••• A•••••••• L•• to E•••••• A••••••• G••••• L••
left Apr 5, 2023, registered Aug 10, 2023 (127 days) · RIA to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to M•••••• I••••••••• A•••••••• L••
left Nov 13, 2020, registered Sep 29, 2022 (685 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Sep 23, 2016, registered Oct 21, 2016 (28 days) · Other

Signals

C••••••••• S••••• left E•••••• A••••••• G••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-06-11)
May 24, 2024 · Advisor changed firm · fact
C••••••••• S••••• left M•••••• I••••••••• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-08-10)
Apr 5, 2023 · 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address