DFX Intelligence

RIA Intelligence

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Registered advisor

N••••••• E••• V•••••

W•••• F•••• A•••••••wirehouseMinneapolis, Mn dual registrantIAPD 6962131

Feed of 09/14/2026

Also filed as N••••••• V•••••

At current firm

1 y

since Jul 17, 2025

In the industry

10 y

since Apr 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

W•••• F•••• A••••••• wirehouse current
since Jul 17, 2025 · Minneapolis, Mn
J••• M••••• S••••••••• L•• wirehouse
Oct 17, 2023 to Dec 10, 2024 · Plymouth, Mn
F••••• I••••••••• independent RIA
Feb 25, 2022 to Jan 24, 2023 · Plano, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 6, 2021 to Jan 28, 2022 · Brooklyn Center, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 3, 2020 to Apr 20, 2021 · Minneapolis, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 7, 2018 to Aug 12, 2019 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Dec 10, 2024, registered Jul 17, 2025 (219 days) · Wirehouse to wirehouse · moved with a team
F••••• I••••••••• to J••• M••••• S••••••••• L••
left Jan 24, 2023, registered Oct 17, 2023 (266 days) · RIA to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••
left Jan 28, 2022, registered Feb 25, 2022 (28 days) · Affiliated broker-dealer or bank to independent RIA
A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 20, 2021, registered Aug 6, 2021 (108 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Aug 12, 2019, registered Jan 3, 2020 (144 days) · Wirehouse to affiliated broker-dealer or bank

Signals

N••••••• E••• V••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2025-07-17)
Dec 10, 2024 · Advisor changed firm · fact
N••••••• E••• V••••• left F••••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2023-10-17)
Jan 24, 2023 · Advisor changed firm · fact
N••••••• E••• V••••• left F••••••• P••••••• A•• W•••••••• A••••••• for F••••• I••••••••• (registered 2022-02-25)
Jan 28, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address