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

G•••• M••••••

J••• M••••• S••••••••• L••wirehouseMinneapolis, Mndual registrantIAPD 6951020

Feed of 09/14/2026

Also filed as G•••• M••••••

At current firm

2 y

since Jul 31, 2024

In the industry

14 y

since Aug 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Jul 31, 2024 · Minneapolis, Mn
C•••••• S••••• • C••• I••• national BD
Jan 17, 2023 to Jul 5, 2024 · Edina, Mn
B••••••• J•••• L•• independent RIA
Jan 29, 2021 to Nov 29, 2022 · Seattle, Wa
C•••••• S••••• • C••• I••• national BD
Jun 17, 2019 to Feb 1, 2021 · Edina, Mn
C••• F•••••••• S•••••••• L••• former
Dec 7, 2018 to May 29, 2019 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••
left Jul 5, 2024, registered Jul 31, 2024 (26 days) · Affiliated broker-dealer or bank to wirehouse
B••••••• J•••• L•• to C•••••• S••••• • C••• I•••
left Nov 29, 2022, registered Jan 17, 2023 (49 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to B••••••• J•••• L••
left Feb 1, 2021, registered Jan 29, 2021 (-3 days) · Affiliated broker-dealer or bank to independent RIA
C••• F•••••••• S•••••••• L••• to C•••••• S••••• • C••• I•••
left May 29, 2019, registered Jun 17, 2019 (19 days) · Affiliated broker-dealer or bank to another

Signals

G•••• M•••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2024-07-31)
Jul 5, 2024 · Advisor changed firm · fact
G•••• M•••••• left B••••••• J•••• L•• for C•••••• S••••• • C••• I••• (registered 2023-01-17)
Nov 29, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address