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

B•••••• T••••• F•••••••••

A••••••••• W••••• P•••••••independent RIAMinnetonka, Mn dual registrantIAPD 6912110

Feed of 09/15/2026

At current firm

1 y

since Nov 15, 2024

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

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• W••••• P••••••• independent RIA current
since Nov 15, 2024 · Minnetonka, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 11, 2024 · Lincoln, Ne
W••••••• F•••••••• S•••••••• I••• former
Mar 16, 2021 to Feb 2, 2023 · Lincoln, Ne
P•••• S••••••••• L•• no RAUM
Jul 11, 2019 to Mar 18, 2021 · Omaha, Ne
M•• F•••••••• S•••••••• I••• BD affiliated
Nov 8, 2018 to Jun 13, 2019 · Lincoln, Ne

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to A••••••••• W••••• P•••••••
left Nov 11, 2024, registered Nov 15, 2024 (4 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Feb 2, 2023, registered Jun 29, 2023 (147 days) · Affiliated broker-dealer or bank to another · moved with a team
P•••• S••••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Mar 18, 2021, registered Mar 16, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••
left Jun 13, 2019, registered Jul 11, 2019 (28 days) · RIA to affiliated broker-dealer or bank

Signals

B•••••• T••••• F••••••••• left C••••• I••••••••• A••••••• L•• for A••••••••• W••••• P••••••• (registered 2024-11-15)
Nov 11, 2024 · Advisor changed firm · fact
B•••••• T••••• F••••••••• left W••••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Feb 2, 2023 · 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