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••••••• S•••••••••

S•••• F••• I••••••••• M••••••••• C••••asset managerSioux Falls, Sddual registrantIAPD 7174832

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as B••••••• Mark S•••••••••

At current firm

2 y

since Jul 12, 2024

In the industry

14 y

since Jul 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••• F••• I••••••••• M••••••••• C•••• asset manager current
since Jul 12, 2024 · Sioux Falls, Sd
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 7, 2022 to Jun 27, 2024 · Sioux Falls, Sd
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 12, 2022 to Oct 18, 2022 · Sioux Falls, Sd
T••••• A•••• M••••••••• L•• independent RIA
Nov 30, 2021 to May 26, 2022 · Sioux Falls, Sd
C••••••• S••••••••• L•• BD affiliated
Jul 15, 2021 to Sep 3, 2021 · Sioux Falls, Sd
V••••• A•••• M••••••••• independent RIA
Mar 12, 2021 to Jul 1, 2021 · Durham, Nc
E••••• J•••• national BD
Nov 26, 2019 to Jan 14, 2021 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• F••• I••••••••• M••••••••• C••••
left Jun 27, 2024, registered Jul 12, 2024 (15 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 18, 2022, registered Dec 7, 2022 (50 days) · Affiliated broker-dealer or bank to wirehouse
T••••• A•••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left May 26, 2022, registered Apr 12, 2022 (-44 days) · RIA to affiliated broker-dealer or bank
C••••••• S••••••••• L•• to T••••• A•••• M••••••••• L••
left Sep 3, 2021, registered Nov 30, 2021 (88 days) · RIA to RIA
V••••• A•••• M••••••••• to C••••••• S••••••••• L••
left Jul 1, 2021, registered Jul 15, 2021 (14 days) · RIA to RIA
E••••• J•••• to V••••• A•••• M•••••••••
left Jan 14, 2021, registered Mar 12, 2021 (57 days) · Affiliated broker-dealer or bank to independent RIA

Signals

B••••••• S••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2024-07-12)
Jun 27, 2024 · Advisor changed firm · fact
B••••••• S••••••••• left S•••••• N••••••• • C••••••• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-07)
Oct 18, 2022 · Advisor changed firm · fact
B••••••• S••••••••• left T••••• A•••• M••••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2022-04-12)
May 26, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address