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

D•••• S••••••

M•••••••• I••••••••• A•••••••• L••independent RIAMiddleton, WiIA-onlyIAPD 6604194

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since May 13, 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

M•••••••• I••••••••• A•••••••• L•• independent RIA current
since May 13, 2024 · Middleton, Wi
W•••• F•••• A••••••• wirehouse
Feb 27, 2023 to May 3, 2024 · Middleton, Wi
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Feb 24, 2023 · Fitchburg, Wi
C••• B•••••••• S•••••••• I••• former
Aug 19, 2016 to May 18, 2022 · Madison, Wi

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M•••••••• I••••••••• A•••••••• L••
left May 3, 2024, registered May 13, 2024 (10 days) · Wirehouse to independent RIA
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Feb 24, 2023, registered Feb 27, 2023 (3 days) · RIA to wirehouse
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move

Signals

D•••• S•••••• left W•••• F•••• A••••••• for M•••••••• I••••••••• A•••••••• L•• (registered 2024-05-13)
May 3, 2024 · Advisor changed firm · fact
D•••• S•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2023-02-27)
Feb 24, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address