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••••

H••••••••• F•••••••• A•••••••BD affiliatedExcelsior, Mndual registrantIAPD 7322004

Feed of 09/14/2026

Also filed as B••••• S••••

At current firm

1 y

since Jul 22, 2025

In the industry

16 y

since Aug 1, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••••••••• F•••••••• A••••••• BD affiliated current
since Jul 22, 2025 · Excelsior, Mn
W•••• F•••• A••••••• wirehouse
Nov 1, 2024 to Jul 15, 2025 · Minneapolis, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 22, 2022 to Oct 11, 2024 · New York, Ny
W•••• F•••• A••••••• wirehouse
May 3, 2022 to May 5, 2022 · Tarpon Springs, Fl

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to H••••••••• F•••••••• A•••••••
left Jul 15, 2025, registered Jul 22, 2025 (7 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Oct 11, 2024, registered Nov 1, 2024 (21 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 5, 2022, registered Sep 22, 2022 (140 days) · Wirehouse to wirehouse

Signals

B••••• S•••• left W•••• F•••• A••••••• for H••••••••• F•••••••• A••••••• (registered 2025-07-22)
Jul 15, 2025 · Advisor changed firm · fact
B••••• S•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2024-11-01)
Oct 11, 2024 · Advisor changed firm · fact
B••••• S•••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-22)
May 5, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address