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

S••••• A••••• J••••••

O•••• W•••••• I•••BD affiliatedDubuque, Iadual registrantIAPD 6940314

Feed of 09/14/2026

Also filed as S••••• A••••• J••••••

At current firm

0 y

since Oct 3, 2025

In the industry

19 y

since Feb 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Oct 3, 2025 · Dubuque, Ia
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Oct 10, 2025 · Dubuque, Ia
P•••• S••••••••• L•• no RAUM
Jul 26, 2021 to Nov 14, 2024 · Dubuque, Ia
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Dec 5, 2018 to Jul 21, 2021 · Madison, Wi
T•• L••• G•••• F•••••••• S••••••• independent RIA
Jun 7, 2018 to Sep 6, 2018 · Dubuque, Ia

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to O•••• W•••••• I•••
left Oct 10, 2025, registered Oct 3, 2025 (-7 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to P•••• S••••••••• L••
left Jul 21, 2021, registered Jul 26, 2021 (5 days) · Affiliated broker-dealer or bank to another
T•• L••• G•••• F•••••••• S••••••• to T••••••••• F•••••••• A•••••••• L••
left Sep 6, 2018, registered Dec 5, 2018 (90 days) · RIA to affiliated broker-dealer or bank

Signals

S••••• A••••• J•••••• left L•• E••••••••• L•• for O•••• W•••••• I••• (registered 2025-10-03)
Oct 10, 2025 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address