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

S•••••••• L••• B•••••

B•••• M•••• W••••• S••••••••• L••independent RIAGrand Forks, Nd IA-onlyIAPD 6717810

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jul 15, 2024

In the industry

11 y

since Apr 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B•••• M•••• W••••• S••••••••• L•• independent RIA current
since Jul 15, 2024 · Grand Forks, Nd
C••••••• P••••••• independent RIA
Nov 8, 2022 to Jun 10, 2024 · Overland Park, Ks
A•••••• A••••••• S••••••• former
Mar 22, 2021 to Nov 8, 2022 · Dubuque, Ia
A•••••• P••••••• P•••••••• I••• BD affiliated
Oct 13, 2016 to Nov 8, 2022 · Dubuque, Ia

Moves

a registration end followed by a registration begin elsewhere

C••••••• P••••••• to B•••• M•••• W••••• S••••••••• L••
left Jun 10, 2024, registered Jul 15, 2024 (35 days) · RIA to a newly registered adviser
A•••••• A••••••• S••••••• to C••••••• P•••••••
left Nov 8, 2022, registered Nov 8, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
A•••••• P••••••• P•••••••• I••• to A•••••• A••••••• S•••••••
left Nov 8, 2022, registered Mar 22, 2021 (-596 days) · RIA to affiliated broker-dealer or bank

Signals

S•••••••• L••• B••••• left C••••••• P••••••• for B•••• M•••• W••••• S••••••••• L•• (registered 2024-07-15)
Jun 10, 2024 · Advisor changed firm · fact
S•••••••• L••• B••••• left A•••••• A••••••• S••••••• for C••••••• P••••••• (registered 2022-11-08)
Nov 8, 2022 · Advisor changed firm · fact
S•••••••• L••• B••••• left A•••••• P••••••• P•••••••• I••• for A•••••• A••••••• S••••••• (registered 2021-03-22)
Nov 8, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address