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••••• A••••• A••••••

C••••• I••••••••• A••••••• L••BD affiliatedDubuque, Ia dual registrantIAPD 6700751

Certified Financial Planner

Feed of 09/14/2026

Also filed as A••••• Renee A•••••

At current firm

1 y

since Aug 12, 2025

In the industry

19 y

since Apr 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Schaumburg, Il
A•••••• P••••••• P•••••••• I••• BD affiliated current
since Aug 12, 2025 · Dubuque, Ia
A•••••• A••••••• S••••••• former
Aug 12, 2025 to Sep 5, 2025 · Clayton, Nc
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 10, 2023 to Mar 31, 2025 · Durham, Nc
S••••••• F•••••••• S•••••••• I••• former
Feb 14, 2023 to Aug 10, 2023 · St. Paul, Mn
C••••• U•••• I••••••••• S••••••• state registered
Jan 22, 2019 to Aug 29, 2022 · Raleigh, Nc
E••••• J•••• national BD
Jul 31, 2018 to Nov 17, 2018 · Clayton, Nc
C••••• U•••• I••••••••• S••••••• state registered
Dec 12, 2017 to Jul 5, 2018 · Garner, Nc

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to A•••••• P••••••• P•••••••• I•••
left Sep 5, 2025, registered Aug 12, 2025 (-24 days) · channel change inside one enterprise, not a move · moved with a team
C••••• I••••••••• A••••••• L•• to A•••••• A••••••• S•••••••
left Mar 31, 2025, registered Aug 12, 2025 (134 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
C••••• U•••• I••••••••• S••••••• to S••••••• F•••••••• S•••••••• I•••
left Aug 29, 2022, registered Feb 14, 2023 (169 days) · Other
E••••• J•••• to C••••• U•••• I••••••••• S•••••••
left Nov 17, 2018, registered Jan 22, 2019 (66 days) · Affiliated broker-dealer or bank to a state-registered adviser
C••••• U•••• I••••••••• S••••••• to E••••• J••••
left Jul 5, 2018, registered Jul 31, 2018 (26 days) · Other

Signals

A••••• A••••• A•••••• left C••••• I••••••••• A••••••• L•• for A•••••• A••••••• S••••••• (registered 2025-08-12)
Mar 31, 2025 · Advisor changed firm · fact
A••••• A••••• A•••••• left C••••• U•••• I••••••••• S••••••• for S••••••• F•••••••• S•••••••• I••• (registered 2023-02-14)
Aug 29, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address