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

N••••••• C•••••• G••••

L•• F•••••••• L••BD affiliatedMilwaukee, Widual registrantIAPD 6292160

Feed of 09/14/2026

At current firm

0 y

since Jun 12, 2026

In the industry

11 y

since Jan 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

L•• F•••••••• L•• BD affiliated current
since Jun 12, 2026 · Milwaukee, Wi
M••••• S•••••• wirehouse
Apr 19, 2023 to Jun 26, 2026 · Milwaukee, Wi
L•• F•••••••• L•• BD affiliated
Oct 27, 2021 to Apr 20, 2023 · Milwaukee, Wi
R••••• W• B•••• • C•• I••••••••• mixed wealth
Aug 10, 2016 to Sep 6, 2021 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to L•• F•••••••• L••
left Jun 26, 2026, registered Jun 12, 2026 (-14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to M••••• S••••••
left Apr 20, 2023, registered Apr 19, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
R••••• W• B•••• • C•• I••••••••• to L•• F•••••••• L••
left Sep 6, 2021, registered Oct 27, 2021 (51 days) · RIA to affiliated broker-dealer or bank

Signals

N••••••• C•••••• G•••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2026-06-12)
Jun 26, 2026 · Advisor changed firm · fact
N••••••• C•••••• G•••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2023-04-19)
Apr 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address