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

A••••• K••••••

L•• F•••••••• L••BD affiliatedSauk Rapids, Mn dual registrantIAPD 6890052

Feed of 09/14/2026

At current firm

2 y

since Apr 15, 2024

In the industry

10 y

since May 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

L•• F•••••••• L•• BD affiliated current
since Apr 15, 2024 · Little Falls, Mn
O•••• W•••••• I••• BD affiliated
Aug 23, 2021 to Aug 24, 2021 · Little Falls, Mn
F•••• F•••••••• independent RIA
Feb 16, 2021 to May 2, 2024 · Minneapolis, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 18, 2020 to Jan 19, 2021 · St. Cloud, Mn
C••••• A•••••• N••••••• L•• former
Oct 2, 2019 to Apr 21, 2020 · St Cloud, Mn
P•••• S••••••••• L•• no RAUM
Sep 5, 2018 to Aug 19, 2019 · St. Louis Park, Mn

Moves

a registration end followed by a registration begin elsewhere

F•••• F•••••••• to O•••• W•••••• I•••
left May 2, 2024, registered Aug 23, 2021 (-983 days) · RIA to affiliated broker-dealer or bank · moved with a team
O•••• W•••••• I••• to L•• F•••••••• L••
left Aug 24, 2021, registered Apr 15, 2024 (965 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to F•••• F••••••••
left Jan 19, 2021, registered Feb 16, 2021 (28 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Apr 21, 2020, registered Jun 18, 2020 (58 days) · Affiliated broker-dealer or bank to another · moved with a team
P•••• S••••••••• L•• to C••••• A•••••• N••••••• L••
left Aug 19, 2019, registered Oct 2, 2019 (44 days) · Affiliated broker-dealer or bank to another

Signals

A••••• K•••••• left F•••• F•••••••• for O•••• W•••••• I••• (registered 2021-08-23)
May 2, 2024 · a•••••• firm change · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address