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•••• C•••••• M••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 7098016

Feed of 09/14/2026

Also filed as A•••• C•••••• M••••

At current firm

2 y

since Jun 10, 2024

In the industry

21 y

since May 1, 2005 (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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Jun 10, 2024 · Madison, Wi
H•••••• I••••••••• I••• independent RIA
Jun 22, 2022 to Aug 11, 2023 · Madison, Wi
S••••••• F•••••••• S•••••••• I••• former
Jun 29, 2021 to Jun 27, 2022 · Milwaukee, Wi
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Apr 23, 2020 to Jun 15, 2021 · Middleton, Wi
E••••• J•••• national BD
Jul 2, 2019 to Oct 8, 2019 · Madison, Wi

Moves

a registration end followed by a registration begin elsewhere

H•••••• I••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Aug 11, 2023, registered Jun 10, 2024 (304 days) · RIA to affiliated broker-dealer or bank
S••••••• F•••••••• S•••••••• I••• to H•••••• I••••••••• I•••
left Jun 27, 2022, registered Jun 22, 2022 (-5 days) · RIA to RIA · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to S••••••• F•••••••• S•••••••• I•••
left Jun 15, 2021, registered Jun 29, 2021 (14 days) · Other · moved with a team
E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••
left Oct 8, 2019, registered Apr 23, 2020 (198 days) · Other

Signals

A•••• C•••••• M•••• left H•••••• I••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-06-10)
Aug 11, 2023 · Advisor changed firm · fact
A•••• C•••••• M•••• left S••••••• F•••••••• S•••••••• I••• for H•••••• I••••••••• I••• (registered 2022-06-22)
Jun 27, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address