DFX Intelligence

D••• L••••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

D••• L••••••• R•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

New Braunfels, TX | Minneapolis, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08afecef-d633-a84c-1f23-e70fee536b88

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 21, 2018	n/a	yes	Minneapolis, MN\|New Braunfels, TX	Current employment
I••••••••• P••••••••• I•••	Former SEC adviser	Oct 3, 2012	Sep 25, 2018	no	SAN ANTONIO, TX\|SAN ANTONIO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Sep 25, 2018	Jun 21, 2018	-96	Bulk transfer	Ibd to ibd
U••• F•••••••• P••••••• S•••••••	I••••••••• P••••••••• I•••	Oct 21, 2010	Oct 3, 2012

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 21, 2018 to presentfactForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Oct 3, 2012 to Sep 25, 2018factForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 6, 2009 to Oct 21, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08afecef-d633-a84c-1f23-e70fee536b88
First observed: Mar 6, 2009
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.