DFX Intelligence

R••••• P••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner14 years in industry

R••••• P••• M•••••

Advisor at I••••••••• I••••••••• S•••••••• I••

Fargo, ND | ALBERT LEA, MN

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Search this name across graphsid dfx:ria:12b3331f-5ee9-0556-9ce1-4bd707ed79c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 8, 2012 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: I••••••••• I••••••••• S•••••••• I••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• I••••••••• S•••••••• I••	Mixed wealth	Oct 22, 2025	n/a	yes	Fargo, ND\|ALBERT LEA, MN	Current employment
R•• A•••••••• L••	Former SEC adviser	Jun 12, 2013	Oct 8, 2025	no	FARGO, ND\|Fargo, ND	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• A•••••••• L••	I••••••••• I••••••••• S•••••••• I••	Oct 8, 2025	Oct 22, 2025	14	Firm change	Other
C•••••• W••••• M•••••••••	R•• A•••••••• L••	Jun 13, 2013	Jun 12, 2013

Relationships

Registered with (3)

→ I••••••••• I••••••••• S•••••••• I••Registered adviserregistration: current employment
Oct 22, 2025 to presentfactForm ADV
→ R•• A•••••••• L••Registered adviserregistration: previous registration
Jun 12, 2013 to Oct 8, 2025factForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 8, 2012 to Jun 13, 2013factForm ADV

Dated events

Occurred
Oct 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12b3331f-5ee9-0556-9ce1-4bd707ed79c0
First observed: Aug 8, 2012
Last observed: Sep 14, 2026 9 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.