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

A•••••••• S••••• B••••

C••••••••• W••••• A•••••••• L••BD affiliatedMinneapolis, Mn dual registrantIAPD 6604036

Certified Financial Planner

Feed of 09/15/2026

Also filed as Alexander Black

At current firm

1 y

since Nov 25, 2024

In the industry

10 y

since Jan 1, 2016 (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

C••••••••• W••••• A•••••••• L•• BD affiliated current
since Nov 25, 2024 · Minneapolis, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 27, 2022 to Nov 19, 2024 · Ann Arbor, Mi
M•• I•••••••• S•••••••• L•• BD affiliated
Sep 2, 2021 to Apr 25, 2022 · Toledo, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 17, 2020 to Jul 6, 2021 · Toledo, Oh
J••• M••••• S••••••••• L•• wirehouse
Dec 12, 2018 to Jan 22, 2020 · Findlay, Oh
E••••• J•••• national BD
May 13, 2016 to Dec 12, 2018 · Sunbury, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to C••••••••• W••••• A•••••••• L••
left Nov 19, 2024, registered Nov 25, 2024 (6 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 25, 2022, registered Jun 27, 2022 (63 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Jul 6, 2021, registered Sep 2, 2021 (58 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 22, 2020, registered Jan 17, 2020 (-5 days) · Wirehouse to wirehouse
E••••• J•••• to J••• M••••• S••••••••• L••
left Dec 12, 2018, registered Dec 12, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A•••••••• S••••• B•••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••••••••• W••••• A•••••••• L•• (registered 2024-11-25)
Nov 19, 2024 · Advisor changed firm · fact
A•••••••• S••••• B•••• left M•• I•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-27)
Apr 25, 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