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.

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Registered advisor

D•••• S••••••

B••••••• F•••••••• C•••••independent RIAClarion, Iadual registrantIAPD 6739619

Feed of 09/14/2026

Also filed as D•••• James S••••••

At current firm

0 y

since Dec 16, 2025

In the industry

26 y

since Feb 1, 2000 (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

B••••••• F•••••••• C••••• independent RIA current
since Dec 16, 2025 · Clarion, Ia
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Jan 27, 2025 · Clarion, Ia
W••••••• F•••••••• S•••••••• I••• former
Jun 6, 2022 to Jan 19, 2024 · Clarion, Ia
F•• W••••• M••••••••• L•• BD affiliated
Nov 18, 2020 to May 23, 2022 · West Des Moines, Ia
E••••• J•••• national BD
Aug 18, 2017 to Nov 17, 2020 · Newton, Ia

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to B••••••• F•••••••• C•••••
left Jan 27, 2025, registered Dec 16, 2025 (323 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
F•• W••••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left May 23, 2022, registered Jun 6, 2022 (14 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to F•• W••••• M••••••••• L••
left Nov 17, 2020, registered Nov 18, 2020 (1 days) · Other

Signals

D•••• S•••••• left O•••• W•••••• I••• for B••••••• F•••••••• C••••• (registered 2025-12-16)
Jan 27, 2025 · Advisor changed firm · fact
D•••• S•••••• left F•• W••••• M••••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2022-06-06)
May 23, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address