DFX Intelligence

S••••• D••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor31 years in industry

S••••• D••••• W••••••

Advisor at C••••••• P••••••• I••••••••• A•••••••• L••

NEWPORT BEACH, CA | EDEN PRAIRIE, 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:17a23538-6795-fb30-457e-6a645651bb63

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2014 to Sep 15, 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: C••••••• P••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jul 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Nov 9, 2021	n/a	yes	NEWPORT BEACH, CA\|EDEN PRAIRIE, MN	Current employment
O•••••••••	I•••••••••_MANAGER	Dec 23, 2014	Dec 31, 2014	no	GOLDEN VALLEY, MN\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	F•••••••• A•••••••• A••••••• S•••••••	Mar 2, 2017	Jan 28, 2014	-1,129	Firm change after gap	Other
O•••••••••	C••••••• P••••••• I••••••••• A•••••••• L••	Dec 31, 2014	Nov 9, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:147786:MN:2017-03-02	Mar 2, 2017	Jan 28, 2014	GOLDEN VALLEY, MN	Firm change after gap

Relationships

Registered with (4)

→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 9, 2021 to presentfactForm ADV
→ O•••••••••Registered adviserregistration: previous registration
Dec 22, 2014 to Jan 6, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Mar 2, 2017factForm ADV
→ F•••••••• A•••••••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17a23538-6795-fb30-457e-6a645651bb63
First observed: Jan 21, 2014
Last observed: Sep 15, 2026 7 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.