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•••••• B•••••

G••••••• I••••••••• L••independent RIAArden Hills, Mndual registrantIAPD 6756365

Feed of 09/14/2026

Also filed as D•••••• S•••••• B•••••

At current firm

1 y

since Mar 3, 2025

In the industry

10 y

since Feb 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

G••••••• I••••••••• L•• independent RIA current
since Mar 3, 2025 · Arden Hills, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 13, 2024 to Dec 23, 2024 · Minneapolis, Mn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Feb 13, 2024 to Oct 22, 2024 · Golden Valley, Mn
M••••• S•••••• wirehouse
Sep 5, 2023 to Dec 22, 2023 · Bloomington, Mn
E•••••• C•••••• M••••••••• L•• former
Mar 9, 2022 to Sep 5, 2023 · Arlington, Va
R•• C•••••• M••••••• L•• national BD
Dec 14, 2019 to Feb 9, 2022 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

T••••••• I••••••••• M••••••••• I••• to G••••••• I••••••••• L••
left Dec 23, 2024, registered Mar 3, 2025 (70 days) · Affiliated broker-dealer or bank to independent RIA
N••••••••• M••••• I••••••••• S••••••••• to T••••••• I••••••••• M••••••••• I•••
left Oct 22, 2024, registered Nov 13, 2024 (22 days) · Other
M••••• S•••••• to N••••••••• M••••• I••••••••• S•••••••••
left Dec 22, 2023, registered Feb 13, 2024 (53 days) · Other
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
R•• C•••••• M••••••• L•• to E•••••• C•••••• M••••••••• L••
left Feb 9, 2022, registered Mar 9, 2022 (28 days) · Affiliated broker-dealer or bank to independent RIA

Signals

D•••••• S•••••• B••••• left T••••••• I••••••••• M••••••••• I••• for G••••••• I••••••••• L•• (registered 2025-03-03)
Dec 23, 2024 · Advisor changed firm · fact
D•••••• S•••••• B••••• left N••••••••• M••••• I••••••••• S••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2024-11-13)
Oct 22, 2024 · Advisor changed firm · fact
D•••••• S•••••• B••••• left M••••• S•••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-02-13)
Dec 22, 2023 · Advisor changed firm · fact
D•••••• S•••••• B••••• left R•• C•••••• M••••••• L•• for E•••••• C•••••• M••••••••• L•• (registered 2022-03-09)
Feb 9, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address