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

J••••• D••••• Y••••

S••••• W••••• M•••••••••independent RIARockford, Il IA-onlyIAPD 6833404

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Sep 3, 2025

In the industry

13 y

since Aug 1, 2013 (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

S••••• W••••• M••••••••• independent RIA current
since Sep 3, 2025 · Rockford, Il
P••••••••• P•••••••• L•• former
Jan 16, 2024 to Oct 20, 2025 · St. Paul, Mn
C••••••• P••••••• independent RIA
Oct 5, 2022 to Jan 2, 2024 · Minneapolis, Mn
W••••• F•••••••• A•••••••• L•• former
Jan 21, 2020 to Oct 12, 2022 · Milwaukee, Wi
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 5, 2019 to Jun 17, 2019 · Minneapolis, Mn
C••••••••• W••••• A•••••••• L•• BD affiliated
Aug 25, 2017 to May 31, 2019 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

P••••••••• P•••••••• L•• to S••••• W••••• M•••••••••
left Oct 20, 2025, registered Sep 3, 2025 (-47 days) · RIA to RIA · moved with a team
C••••••• P••••••• to P••••••••• P•••••••• L••
left Jan 2, 2024, registered Jan 16, 2024 (14 days) · RIA to RIA
W••••• F•••••••• A•••••••• L•• to C••••••• P•••••••
left Oct 12, 2022, registered Oct 5, 2022 (-7 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to W••••• F•••••••• A•••••••• L••
left Jun 17, 2019, registered Jan 21, 2020 (218 days) · Affiliated broker-dealer or bank to independent RIA
C••••••••• W••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 31, 2019, registered Jun 5, 2019 (5 days) · Affiliated broker-dealer or bank to another

Signals

J••••• D••••• Y•••• left P••••••••• P•••••••• L•• for S••••• W••••• M••••••••• (registered 2025-09-03)
Oct 20, 2025 · Advisor changed firm · fact
J••••• D••••• Y•••• left C••••••• P••••••• for P••••••••• P•••••••• L•• (registered 2024-01-16)
Jan 2, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address