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

L••• J••••• B•••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Paul, Mndual registrantIAPD 6848995

Feed of 09/14/2026

Also filed as L••• J••••• B•••••

At current firm

0 y

since Feb 13, 2026

In the industry

14 y

since Dec 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Saint Paul, Mn
U••• B•••••• I••••••••• I••• former
Nov 8, 2024 to Feb 13, 2026 · Saint Paul, Mn
W•••• F•••• A••••••• wirehouse
May 23, 2024 to Nov 12, 2024 · Minneapolis, Mn
J••• M••••• S••••••••• L•• wirehouse
Dec 12, 2023 to Apr 27, 2024 · Minneapolis, Mn
U••• B•••••• I••••••••• I••• former
Jun 2, 2021 to Apr 11, 2022 · Wayzata, Mn
W•••• F•••• A••••••• wirehouse
May 16, 2019 to Apr 20, 2021 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left Nov 12, 2024, registered Nov 8, 2024 (-4 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Apr 27, 2024, registered May 23, 2024 (26 days) · Wirehouse to wirehouse
U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••
left Apr 11, 2022, registered Dec 12, 2023 (610 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left Apr 20, 2021, registered Jun 2, 2021 (43 days) · Wirehouse to affiliated broker-dealer or bank

Signals

L••• J••••• B••••• left W•••• F•••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2024-11-08)
Nov 12, 2024 · Advisor changed firm · fact
L••• J••••• B••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-05-23)
Apr 27, 2024 · Advisor changed firm · fact
L••• J••••• B••••• left U••• B•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-12-12)
Apr 11, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address